Interactive Brokers · 3 months ago
Compliance Analyst – CAT Transaction System
Greenwich, CT
Full-time
Hybrid
Entry Level
1+ years expInteractive Brokers Group, Inc. is a global financial services company known for its cutting-edge technology and client commitment. They are seeking a Compliance Analyst to handle compliance supervision over reporting to various non-financial systems, focusing on the Consolidated Audit Trail (CAT) reporting systems to ensure adherence to regulations.
E-CommerceFinanceFinancial Services
Responsibilities
Reviewing regulatory data to identify root causes and necessary remediation for errors
Using UNIX command tools to make corrections to records as needed
Developing surveillance for regulatory reporting and operational data
Automating the CAT Feedback system
Following up with software developers and/or management on any errors or exceptions that arise
Gathering facts to assist the firm in responding to examinations and formal inquiries
Proposing improvements to, or additional controls over, regulatory reporting
Qualification
Required
Bachelor's degree required, preferably in a quantitative or analytical field
1–2 years of experience as a Data Analyst/Data Scientist
Experience in an analytical role, preferably in the financial industry
Strong data analysis, investigatory, and problem-solving skills
The ideal candidate would have some degree of self-sufficiency in performing data analysis using common programming languages (e.g., Python, Perl) and database queries (e.g., SQL)
Regulatory research and interpretation skills
Strong written and verbal communication skills, including the ability to discuss and write about complex topics in a manner that is both precise and persuasive
Familiarity with, or the ability to learn, advanced Excel skills is required (e.g., pivot tables, macros)
Experience in researching transactional reporting issues to form evidence-based conclusions is a necessary skill
Technological orientation is required
Preferred
Experience in data analysis and/or system development or improvement is strongly preferred
While preference will be given to individuals with financial services industry experience, similar compliance experience in another industry will also be considered
Familiarity With The Following Is a Plus: FINRA Consolidated Audit Trail (“CAT”) / Order Audit Trail (“OATS”) systems
FIX protocol
UNIX knowledge is part of this job and must be learned on the job, but prior experience is preferred
Programming skills in Python, Perl, or Go are highly desirable
Experience using Atlassian systems (e.g., Confluence and JIRA) is a plus
Benefits
Competitive salary, annual performance-based bonus, and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and wellness benefits, including medical, dental, and vision coverage; company-paid healthcare premium
Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company lunch allowance and a fully stocked kitchen with healthy options for breakfast and snacks
Corporate events, including team outings, dinners, volunteer activities, and company sports teams
Education reimbursement and learning opportunities
Modern offices with multi-monitor setups
Company
Interactive Brokers
Rated #1 Active Traders and #1 International Trading in 2025 by StockBrokers.com.
Founded in 1977Greenwich, Connecticut, USA
1001-5000 employees
H1B Sponsorship
Interactive Brokers has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (29)
2024 (24)
2023 (12)
2022 (21)
2021 (10)
2020 (12)
Funding
Current Stage
Public CompanyTotal Funding
unknown2009-06-01Post Ipo Equity
2008-01-01Post Ipo Equity
2007-05-04IPO
Leadership Team
James Menicucci
Chief Financial Officer
Andrew Claflin
Marketing Partnerships
Recent News
2026-01-09
2026-01-07
Company data provided by crunchbase