Regulatory Compliance Analyst

UK-London
ID
2017-1673
Department
Compliance

Overview

 

Interactive Brokers (U.K.) Ltd. (“IBUK”) is seeking a Regulatory Compliance Analyst to join our rapidly growing company. The key objective of the Regulatory Compliance Analyst role is to ensure that IBUK is in compliance with the regulatory requirements, with a focus on reporting obligations such as MiFIR Transaction Reporting and EMIR reporting.

 

The successful candidate will assist the Regulatory Compliance Associate in reviewing the regulatory requirements that have an impact on IBUK and in analysing and implementing the required changes to the company’s systems and controls. This position is based in our London office. The role will answer to the Regulatory Compliance Associate. 

 

Office:             Interactive Brokers (U.K.) Ltd.

Department:   Legal/Compliance

Location:        City of London

Job Title:        Regulatory Compliance Analyst

Pay Rate:        Competitive salary and annual discretionary cash bonus which may include parent company shares (IBKR)

 

Company Overview:

 

IBUK a subsidiary of Interactive Brokers Group, Inc. (NASDAQ: IBKR) is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 100 market centers in 26 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing 657,000 trades per day*. IBG employees, are part of dynamic, multinational, fast paced, results oriented teams working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

 

*Figures as of March 31, 2017. For more information about Interactive Brokers visit: www.interactivebrokers.com

Responsibilities

  • Assist with the daily and ad hoc regulatory reports that IB submits to the FCA and other National Competent Authorities, including MiFIR, EMIR and ancillary reports; Interact with other departments, to obtain necessary data and to cooperate in improving the company’s systems and controls;
  • Gather and analyse data for the reconciliation, and production of reports and regulatory technical specifications;
  • Gain a sound understanding of European regulatory and reporting requirements as well as of the internal business model, systems and technology;
  • Document and maintain records of all projects, issues and decisions taken in the internal system;
  • Assist in drafting, updating and monitoring the company’s policies and procedures for relevant business areas;
  • Provide support for replying to internal and external regulatory inquiries;
  • Monitor regulation developments to ensure the company’s adherence to relevant laws, regulations and guidelines (e.g. MiFID II Regulatory and Implementation Technical Standards, ESMA’s Q&As, etc);
  • Carry out any other ad-hoc tasks at the request of the Regulatory Compliance Associate.

Qualifications

  • A Bachelor’s degree in law, business, finance or accounting preferred;
  • Strong analytical skills to use data/metrics for risk monitoring as well as good oral and written communication skills;
  • Ability to work flexible hours;
  • A working knowledge of key FCA principles for businesses and/or financial services sector (brokerage, bank or securities industry) – prior experience preferred;
  • Must have ability to work in a pressurized medium-size office environment.

 

Benefits:

Competitive salary as well as health and retirement benefits.

 

Other Terms and Conditions:

  • Candidates are on a probationary period of three (3) months. 
  • Candidates must have a UK or EU passport or a qualifying work permit/residency to work in the United Kingdom. 

 

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