• Regulatory Compliance Analyst

    Job Locations UK-London
    ID
    1869
    Department
    Compliance
  • Job Description and Responsibilities

    Interactive Brokers (U.K.) Ltd. (“IBUK”) is seeking a Regulatory Compliance Analyst to join our rapidly growing company. The role gives great exposure to a number of different regulatory frameworks due to the wide range of financial instruments offered by IBKR and because of the global reach of the Firm.
    The key objective of the Regulatory Compliance Analyst role is to ensure that IBUK meets its regulatory requirements, with a focus on reporting obligations such as MiFIR transaction reporting and EMIR reporting.

     

    The successful candidate will join the Regulatory Compliance team to maintain and improve the monitoring plan, and to assess new regulatory requirements that have an impact on IBUK. This position is based in our London office. The role will answer to the Senior Regulatory Compliance Associate. This position is based in our London office.

     

    Responsibilities

    • Assist with the daily operations to ensure timely, accurate and complete regulatory reporting to the FCA and other National Competent Authorities, including MiFIR, EMIR and ancillary reports.
    • Gather and analyse data for the quality assurance and reconciliation of transaction reports.
    • Interact with other departments to improve the Firm’s systems and controls.
    • 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.
    • 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 regulatory developments to ensure the firm’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 Senior Regulatory Compliance Associate.

     

    Qualifications

    • A Bachelor’s degree is required. A degree in law, business, finance or accounting is preferred.
    • Strong analytical skills to use data/metrics for risk monitoring as well as good oral and written communication skills.
    • 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.
    • Ability to work flexible hours

    Company Overview

    Interactive Brokers Group, Inc. (IEX: IBKR) is an 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 120 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 797,000 trades per day.¹ Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

     

    ¹Figures as of June 30, 2018. 

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