Financial Regulation Senior Analyst
Interactive Brokers
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Interactive Brokers Group, Inc.

IEX : IBKR); is a direct access 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 31 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 950,000 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 December 31, 2018.

We are seeking an analyst for our new Luxembourg brokerage, which is being established as a PFS Commission Agent.

The analyst will have a key role in both the protection of client financial instruments and client funds, and in ensuring that all prudential regulatory requirements are met.

In time, and with the training to be provided as part of the role, the analyst will become a key day to day contact for client protection and prudential regulation.

Additionally, the holder of this role will undertake ad-hoc financial analysis of the business, support a wide range of new business initiatives as the business grows, and will interface internal groups such as accounting, treasury, clearing and programming.

The position offers the opportunity for significant growth.

It will suit an intellectually curious person who is keen to learn about regulatory work at an international and technologically advanced broker.

Extensive on the job training will be provided.

The professional should be highly organized and an analytical thinker.

The role reports to the Financial Regulation Senior Manager.

The successful candidate is likely to have had some exposure to one or more of the following areas and an interest in learning the regulatory rules for a broker : Meeting regulatory requirements for a regulated company.

Preparation of periodic returns required by the CSSF.

Working with the CSSF’s requirements for the protection of client financial instruments and client funds.

Familiarity with accounting, and ideally experience in working with equities, foreign exchange and listed derivatives.

Responsibilities : Preparing the quarterly COREP return, from start to finish.

Preparation of reconciliations and computations for the protection of client financial instruments and client funds.

Preparing certain returns mandated by the CSSF, such as Table I & Table III.2.

Supporting the Financial Regulation manager in a range of matters, including undertaking ad hoc investigations into the client protection and prudential impact of new products and markets.

Developing, enhancing and documenting control procedures related to regulatory control.

Developing a good understanding of financial regulation (eg MiFID II and CRR, as well as Luxembourg laws and CSSF circulars), and horizon scanning to identify possible changes.

Creating functional business requirements for enhancements to existing regulatory and operational systems.

Coordinating and supporting regulatory examinations.

Qualifications : University degree.

An accounting qualification and experience of working for a PFS Commission Agent are both strong pluses.

Some knowledge of the impact of EU regulation and directives, especially CRR and MiFID II (as it applies to client protection).

An understanding of Luxembourg financial law and of the CSSF’s circulars is advantageous.

Demonstrable experience of documenting and describing processes and policies.

Ability to work under pressure, if necessary, under deadline-driven conditions.

Must be a self-starter with strong analytical and communication skills, as this role requires both global interaction and independent work.

Good understanding of technology and automation is helpful.

Fluent in English (and ideally French), and is proficient in the use of MS Office applications.

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