Compliance Operational Analyst

6 hours ago

Dublin, Ireland Interactive Brokers Group, Inc. Full time

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Compliance Operational Analyst

All of our roles are Hybrid – 3 days in the office.

Office Location: North Dock One, 91/92 North Wall Quay, Dublin, D01 H7V7

Interactive Brokers Ireland Limited (“IBIE”) is looking for a Compliance Operational Analyst/Account Maintenance Specialist to assist with fulfilling IBIE’s responsibilities concerning client categorization, regulatory reporting, and consumer protection. The Analyst will be an integral member of the client operations team, reporting directly to the European Head of New Accounts.

This is a unique opportunity for a junior professional with a background in compliance to gain exposure to a wide range of governance and regulatory risk management requirements in a fast-paced and complex operating environment. It also provides an excellent opportunity to learn the regulatory expectations of an investment firm with a large retail and professional client base.

Responsibilities:

1. Assist the first line with the day-to-day oversight and execution of compliance-related operational items.
2. Review and process client categorisation requests.
3. Ensure that client profiles are current for EMIR/MiFIR/SFTR reporting.
4. Confirm that the appropriateness testing system is operating correctly on a pan-European level.
5. Compile Management Information from the output of the client profile reviews and identify changes and enhancements to the current processes.
6. Collaborate closely with the second line on the planning and execution of the firm’s Compliance monitoring and testing program per industry standards and the expectations of management, auditors, and the Central Bank of Ireland.
7. Monitor new and emerging regulatory and conduct risks and their impacts on the firm and its clients.
8. Assist with maintaining the Compliance Policy and Procedures framework by providing valuable operational feedback to stakeholders.

Qualifications:

1. Min 2 years of relevant Compliance experience, preferably at a large broker, proprietary trading firm or other MiFID firm, gained in a Compliance, Risk or Audit function;
2. Knowledge of the regulatory framework of applicable regulation, including MiFID/R, and other relevant Central Bank of Ireland codes/guidance. Knowledge of EMIR, PRIIPS and SFTR is a plus;
3. Strong knowledge of financial instruments and financial markets;
4. Experience assessing risks and evaluating systems and controls;
5. High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions;
6. Strong communication, problem-solving and analytical skills;
7. Ability to work under pressure, formulate and articulate solutions and defend assumptions;
8. Excellent attention to detail;
9. University degree or higher qualification;
10. Professional Certificate or Professional Diploma in Compliance or currently working towards these qualifications.

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