Interactive Brokers Group

3 months ago

Compliance Analyst - CAT Transaction System

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 10 hours agoStatus: Live

Job Summary

Oversee Consolidated Audit Trail (CAT) reporting systems by reviewing regulatory data, investigating transactional reporting issues, and designing control procedures to ensure compliance. Use UNIX tools and programming/database skills to correct records, automate the CAT Feedback system, and build surveillance for regulatory and operational data. Partner with software developers and management to resolve errors, and compile evidence to support examinations and formal inquiries.

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Entry level

Key Responsibilities

•Ensure the firm complies with CAT reporting rules through compliance supervision and operational oversight.
•Review regulatory data to identify root causes, determine remediation for errors, and propose improvements or additional controls.
•Develop surveillance for regulatory reporting and operational data, including automating the CAT Feedback system.
•Use UNIX command tools and data analysis techniques to correct records as needed and follow up on errors or exceptions with developers and management.
•Gather facts and provide evidence-based conclusions to support examinations and formal inquiries.

Pay and Benefits

Equity and Bonus:Equity

Perks:401kHealth InsuranceDentalVisionEmployee AssistanceParental LeaveLife InsuranceLong-term DisabilityGym MembershipLearning BudgetMeal Allowance

Key Requirements

•1–2 years of experience as a Data Analyst or Data Scientist.
•Bachelor’s degree required, preferably in a quantitative or analytical field.
•Strong data analysis, investigatory, and problem-solving skills with regulatory research and interpretation.
•Some self-sufficiency performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL).
•Ability to use advanced Excel skills (e.g., pivot tables, macros) and strong written and verbal communication.

Experience:1-2 years

Education:Bachelor's

Skills:Self-motivationProblem-solvingCollaborationCommunicationOrganizational skills

Tech Stack:UNIXPythonPerlGoSQLExcelFINRA CATOATSFIXAtlassian ConfluenceJIRA

Company Brief

Interactive Brokers Group

Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.

Industry: Trading Platforms

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Greenwich, United States

Founded: 1977

Website LinkedIn

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Interactive Brokers Group

3 months ago

Compliance Analyst - CAT Transaction System

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 10 hours agoStatus: Live

Job Summary

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Entry level

Key Responsibilities

•Ensure the firm complies with CAT reporting rules through compliance supervision and operational oversight.
•Review regulatory data to identify root causes, determine remediation for errors, and propose improvements or additional controls.
•Develop surveillance for regulatory reporting and operational data, including automating the CAT Feedback system.
•Use UNIX command tools and data analysis techniques to correct records as needed and follow up on errors or exceptions with developers and management.
•Gather facts and provide evidence-based conclusions to support examinations and formal inquiries.

Pay and Benefits

Equity and Bonus:Equity

Perks:401kHealth InsuranceDentalVisionEmployee AssistanceParental LeaveLife InsuranceLong-term DisabilityGym MembershipLearning BudgetMeal Allowance

Key Requirements

•1–2 years of experience as a Data Analyst or Data Scientist.
•Bachelor’s degree required, preferably in a quantitative or analytical field.
•Strong data analysis, investigatory, and problem-solving skills with regulatory research and interpretation.
•Some self-sufficiency performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL).
•Ability to use advanced Excel skills (e.g., pivot tables, macros) and strong written and verbal communication.

Experience:1-2 years

Education:Bachelor's

Skills:Self-motivationProblem-solvingCollaborationCommunicationOrganizational skills

Tech Stack:UNIXPythonPerlGoSQLExcelFINRA CATOATSFIXAtlassian ConfluenceJIRA

Company Brief

Interactive Brokers Group

Industry: Trading Platforms

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Greenwich, United States

Founded: 1977

Website LinkedIn