Interactive Brokers Group

1 month 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 to ensure regulatory compliance. Read and interpret regulations, research transactional reporting issues, analyze data, and design control procedures to test adherence. Use UNIX tools to correct records, develop surveillance for regulatory reporting, automate CAT feedback, and coordinate with software developers and leadership to resolve errors. Support examinations by gathering facts and proposing improvements to regulatory reporting controls.

Location: United States

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Ensure compliance by supervising CAT reporting systems and reviewing regulatory data for errors.
•Research and analyze transactional reporting issues to determine root causes and remediation.
•Use UNIX command tools to make corrections to records as needed.
•Develop surveillance and automate the CAT Feedback system; coordinate follow-ups on exceptions with developers and management.
•Gather facts to support examinations and propose improvements/additional controls over regulatory reporting.

Key Requirements

•Bachelor’s degree in a quantitative or analytical field.
•Experience in an analytical role, preferably in the financial industry.
•Strong data analysis, investigatory, and problem-solving skills.
•Self-sufficient data analysis using programming languages (e.g., Python, Perl) and database queries (e.g., SQL).
•Regulatory research and interpretation skills, with strong written and verbal communication.

Experience:CommoditiesSecuritiesFinancial services

Education:Bachelor's

Skills:Self-motivatedProblem-solvingAnalytical skillsCollaborationOrganizational skills

Tech Stack:UNIXPythonPerlGoSQLExcelFINRA CATOATSFIX protocolAtlassian ConfluenceJIRAPivot tablesMacros

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

1 month 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: Mid level

Key Responsibilities

•Ensure compliance by supervising CAT reporting systems and reviewing regulatory data for errors.
•Research and analyze transactional reporting issues to determine root causes and remediation.
•Use UNIX command tools to make corrections to records as needed.
•Develop surveillance and automate the CAT Feedback system; coordinate follow-ups on exceptions with developers and management.
•Gather facts to support examinations and propose improvements/additional controls over regulatory reporting.

Key Requirements

•Bachelor’s degree in a quantitative or analytical field.
•Experience in an analytical role, preferably in the financial industry.
•Strong data analysis, investigatory, and problem-solving skills.
•Self-sufficient data analysis using programming languages (e.g., Python, Perl) and database queries (e.g., SQL).
•Regulatory research and interpretation skills, with strong written and verbal communication.

Experience:CommoditiesSecuritiesFinancial services

Education:Bachelor's

Skills:Self-motivatedProblem-solvingAnalytical skillsCollaborationOrganizational skills

Tech Stack:UNIXPythonPerlGoSQLExcelFINRA CATOATSFIX protocolAtlassian ConfluenceJIRAPivot tablesMacros

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