Senior Data Analyst - Compliance

Interactive Brokers is looking for a motivated, data professional to support its Data Governance program. The Senior Data Analyst – Compliance will be responsible for researching and documenting data lineage from a regulatory compliance perspective to support global broker-dealer reporting requirements. This is a compliance role that will work closely with the data governance team and other functions as may be required.

Responsibilities

• Identify key data elements and create and maintain data lineage maps by collaborating with technical and business stakeholders.
• Create and maintain data policies and procedures and develop compliance solutions that satisfy relevant broker-dealer regulations.
• Create source-to-destination data maps for AML reports and systems.
• Support the buildout and management of the data catalog, business glossaries, and the associated metadata that serve as the enterprise repository for understanding and governing information across the organization.
• Design periodic and ad hoc supervisory reports and complete associated reviews.
• Implement internal control enhancements and appropriately triage potential compliance matters.
• Assist and coordinate responses to regulatory inquiries from US and global regulators.
• Draft and implement controls and perform control testing.
• Research and write policies and procedures.

Qualifications

• 5+ years of experience at a financial services company, auditor, or regulator.
• 3+ years of experience performing or auditing middle- and back-office functions at a broker-dealer, investment manager, hedge fund, or bank.
• Experience analyzing and documenting data flows and entity relationships (e.g., DFD, ERD).
• Fluent with MS Office tools, particularly Excel (e.g., Power Query, VBA) and Visio (e.g., UML and BPMN diagrams).
• Ability to work both independently and in a small-team environment, and to multi-task with minimal supervision.

• Bachelor’s or master’s degree in Finance, Accounting, Business, Economics, Computer Science, Data Science or Information Systems.
• Business analysis and/or project management experience skills.
• Understanding of financial compliance data.
• Exposure to US and foreign regulations relevant to broker-dealers.
• High degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems.
• Experience with Linux and SQL.
• Experience with data catalog, data lineage, MDM, and/or taxonomy tools.
• Working knowledge of one or more programming or scripting languages (Python, Java, JavaScript, Perl, etc.).
• Working knowledge of XML and/or JSON is a plus.