- Daily monitoring of Capital and Client Protection compliance (e.g., Commodities Client Segregation, Reserve (15C3-3), Net Capital (15C3-1), Canada Client Money, Hong Kong Client Money, India Client Money)
- Compilation of monthly and annual regulatory reports (FOCUS, MFR, CLR, FFR, FRR)
- Annual review and continuing maintenance of policies and procedures
- Assist with regulatory examination and external audit query responses (SEC, FINRA, CFTC, CME, NFA)
- Analyze new regulations in existing jurisdictions and assist in the research of new licenses and/or entry into a new country
- Bachelor's degree with a concentration in Finance, Accounting or Economics
- 0-5 years of experience
- Proficiency in Microsoft Excel
- Experience in regulatory reporting is preferred but not required
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and welfare benefits, including medical, dental, and vision benefits
- 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 provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups
Financial Regulatory Analyst - Canada - Longwood University
1 month ago
Description
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The Financial Regulatory Analyst is responsible for ensuring compliance with the financial regulatory rules in the countries where the IBKR Group operates. Headquartered in Greenwich, Connecticut, the group's Financial Regulatory Team monitors for compliance with capital and client protection regulations and evaluates the impact of financial regulations for global affiliates. The Analyst will work on entities operating in Australia, Canada, India, Hong Kong, and the US.
The successful candidate will be highly meticulous, team-oriented, and capable of identifying and recommending process improvements.
Responsibilities