• Head of Financial Regulatory Compliance

    Job Locations LU
  • Job Description and Responsibilities

    We are seeking an experienced Head of Financial Regulatory Compliance for our new Luxembourg office. This is a senior position, responsible for the protection of client money and assets and for compliance with all financial regulatory rules, including reporting on regulatory capital, client money, safe custody assets and ownership of the ICAAP, ILAS, resolution pack and other required analytical submissions. In addition, this role will be responsible for ad-hoc financial analysis of the business and will interface with the local auditors and the centralized accounting group (at the Group’s headquarters).

    The position will require a highly organized and analytical thinker. The role reports locally to the head of the investment company and functionally to the Head of Financial Regulatory Compliance for Europe.  


    The successful candidate will be an expert in: 

    • Implementing the detailed governance requirements for the protection of client assets and money.
    • Meeting all local and European financial regulatory requirements, including the preparation of periodic returns to the regulator.
    • Accounting, with knowledge and experience in working with equities, foreign exchange and listed derivatives.


    • Design, implementation and approval of controls over client assets and money in accordance with CSSF regulations. Developing and maintaining Internal Capital Adequacy Assessment Process.
    • Advising the Board of Directors of any relevant financial, regulatory and safe custody requirements.
    • Maintaining a good understanding of the regulations and of new developments, including rules and reporting arising from the CRR (EU 575/2013).
    • Daily review of reconciliations and computations for the protection of client assets.
    • Preparing and sending to the CSSF all required prudential and client asset related returns.
    • Developing and enhancing all procedures related to good financial controls.
    • Researching accounting and financial regulatory impact of new products and markets.
    • Creating functional business requirements for enhancements to existing financial, regulatory and operational systems.
    • Planning, coordinating and managing audits and regulatory examinations, including the financial audit.


    • University degree.
    • Extensive regulatory experience with Client Money, Safe Custody Assets (per MiFID II) and COREP reporting under Luxembourg or UK rules.
    • Accounting experience at a financial services company.
    • Experience in the Luxembourg regulatory environment is a strong plus.
    • Must be a driven self-starter with strong analytical and communication skills, as this role requires both extensive global interaction and independent work.
    • Good understanding of technology and automation is a strong plus.
    • Fluent in English & French or German; and proficient in the use of MS Office applications.

    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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