Compliance Risk Analyst

2 months ago

London, Greater London, United Kingdom Interactive Brokers Full time
Job Description

Job Title: Compliance Risk Analyst

Job Summary:

We are seeking a highly skilled Compliance Risk Analyst to join our team at Interactive Brokers. As a Compliance Risk Analyst, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Assist in the design, planning, and execution of the firm's periodic compliance risk assessment.
  • Execute and assist in the optimization of the firm's monitoring and testing program in accordance with industry standards and expectations of management, auditors, and regulatory bodies.
  • Design queries, testing sheets, and conduct analysis of processes' compliance to measure and provide clear observations of the risk factors and controls.
  • Effectively and clearly organize and document information arising from the execution of the monitoring and testing program targeted at different stakeholders.
  • Identify changes and enhancements to the program as required.
  • Assist with the maintenance of Compliance Policies and Procedures framework, ensuring all artefacts are updated on a regular basis.
  • Assist with thematic reviews of the firm's different business compliance areas.
  • Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the Compliance testing and monitoring plan and the business.
  • Support others in the General Compliance team as required.

Requirements:

  • Bachelor's degree or equivalent.
  • Solid experience (ideally 2 years +) as a business analyst, audit, compliance, risk, or other professional, with relevant experience in conducting system or program testing and/or thematic reviews.
  • Knowledge of the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, DISP, SYSC, PROD, and other relevant regulatory requirements.
  • Excellent communication and written skills, particularly the ability to interpret and transform information into effective and clear language aimed at target audience.
  • Significant interpersonal skills and the ability to communicate effectively with key stakeholders inside and outside the firm to build strong relationships and achieve results.
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions, strong Excel skills.
  • Ability to work independently and manage multiple, deadline-driven priorities in a fast-paced work environment with strong attention to detail.
  • Outstanding analytical, problem-solving, organization, and follow-up skills.
  • Ability to work under pressure, formulate and articulate solutions, and defend assumptions.
  • Excellent time management skills combined with the ability to work on your own initiative and exercise judgment with discretion.
  • Versatile as the needs and demands of the team evolve.

What We Offer:

  • Career support and development.
  • Salary commensurate with experience.
  • Performance-based discretionary cash bonus scheme.
  • Discretionary stock grant.
  • Group Life Assurance cover.
  • Group Income Protection.
  • Occupation pension scheme based on Gross earnings.
  • Hybrid working model.
  • Above statutory annual leave, increasing with service.
  • Daily company-paid lunch and healthy snack options throughout the day.
  • Access to Private Medical Insurance, Dental Plan, and/or Health Cash Plan.
  • Corporate events.
  • Travel season ticket loans.
  • Cycle to work scheme.

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