• Head of Trade Surveillance

    Job Locations LU
  • Job Description and Responsibilities

    We are looking for a Head of Trade Surveillance for our new European entity headquartered in Luxembourg. This officer will be responsible for overseeing Interactive Brokers’ surveillance of the European trading activity of the firm’s customers to identify potential breaches of market conduct rules (i.e., the MAR and related ESMA regulations) or market related financial crime.



    • Oversee the firm’s trade surveillance efforts;
    • Work with IB’s Trade Surveillance teams to calibrate and implement customer due diligence procedures;
    • Update policies as needed to reflect changes in applicable laws;
    • Assist the firm’s in-house counsel in responding to regulatory or enforcement inquiries regarding surveillance policies or issues;
    • Help craft written instructions for programmers and technology staff to comply with applicable trade surveillance guidelines and rules;
    • Draft and implement firm policies and written supervisory procedures;
    • Develop and implement remedial action plans in response to internal and external audit findings.
    • Keep up to date with changes in market conduct regulations and other relevant areas of law and regulations


    • At least 3-5 year’s experience in trade surveillance compliance, preferably at a large broker or other financial institution with a European customer base or an EU regulator;
    • Strong background in customer trading surveillance preferred;
    • Solid academic background;
    • Solid knowledge of EU market conduct rules and market regulations;
    • 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 in a small-team environment and to work independently 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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