• Compliance Officer

    Job Locations US-CT-Greenwich
    ID
    1842
    Department
    Compliance
  • Job Description and Responsibilities

    Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities and commodities regulatory issues and has appropriate experience at a regulatory agency, exchange or law firm. In particular, we are looking for someone who can manage one or more areas of the firm’s compliance department.

     

    • Coordinating regulatory inquiries from the SEC, FINRA, CFTC, CME, NFA, state and foreign regulators concerning securities, commodities and derivatives trading and compliance issues
    • Meeting with and responding to the SEC, FINRA, CFTC, CME and other regulators during onsite examinations of the firm
    • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants
    • Crafting detailed written instructions for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines
    • Drafting and implementing firm policies, controls and written supervisory procedures
    • Developing and implementing remedial action plans in response to internal and external audit findings

    Qualifications

    • 6-12 years’ experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM
    • Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
    • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
    • Outstanding oral and written communication skills
    • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
    • Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

    Company Overview

    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 797,000 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 September 30, 2018.

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