Trade Surveillance Analyst

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Responsibilities

Reporting to the Regional Head of Surveillance, the role involves:

• Conducting trade monitoring and surveillance


• Reviewing and providing suggestions to enhance the existing trade surveillance system/reports


• Manage projects to build and implement approved enhancements and changes required due to regulatory changes. 


• Crafting written instructions for programmers and technology staff.


• Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong;


• Assisting in drafting and implementing firm policies and written supervisory procedures;


• Developing and implementing remedial action plans in response to internal and external audit findings;

Required Qualifications and Skills

• Good quantitative, analytical and problem-solving skills


• Fluency in English (both written and spoken) is essential.


• Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm.


• Familiarity with exchange rules, rules governing trading conduct 


• Good product knowledge and understanding of the markets


• Prior trade monitoring and surveillance experience


• Solid academic background with relevant qualifications


• Have a "can-do" attitude and willingness to learn.


• Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment


• Experience in dealing with exchange and regulatory enquiries.


• A high degree of comfort and fluency with computers and technology, an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly.


• Ability to work in a small team environment


• Ability to multi-task, prioritize and work with minimal supervision.

Desired

• Prior experience with Smarts broker or equivalent trade monitoring software.


• Chinese language ability (written and/or spoken in Mandarin or Cantonese) is beneficial.


• Citizenship requirements depend on the candidate and the role's jurisdiction.

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant


• Excellent health and welfare benefits including medical, dental, specialist and in-patient  


• Competitive package of Annual Leave


• Daily lunch ordered in house with fully stocked kitchen


• Great work life balance


• Unique opportunity to gain exposure to global financial products, markets and clientele


• Opportunities for career progression and job scope expansion in a global company with growing local presence


• Hybrid work arrangement role permitting