Associate General Counsel, Regulatory Associate General Counsel, Regulatory …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 29 Jul 20
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 29 Jul 20
Associate General Counsel, Regulatory
Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in securities and broker-dealer issues who is interested in joining the firm's General Counsel office either in Greenwich, CT or Washington, DC.
Assisting the firm's Chief Regulatory Counsel in handling various regulatory matters, including:
  • Evaluating the legal and regulatory impact of new proposed business lines or offerings.
  • Advising the firm's Compliance Department and various business lines on federal securities and commodities law, including federal statutes, SEC and CFTC rules, and SRO rules (e.g., FINRA, NFA, CME, etc.)
  • Identifying necessary changes to the firm's systems and procedures to meet new rules/regulations.
  • Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
  • Drafting agreements, disclosures, account documentation and website materials.
  • Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
  • 5-10 years post-J.D. experience at a law firm (with broker-dealer advisory experience), financial services regulatory agency, exchange or broker-dealer. Experience with bank regulatory issues as well is a plus, but not required.
  • Experience in handling regulatory and enforcement matters.
  • Member in good standing of the bar of any U.S. state or the District of Columbia.
  • Solid academic background.
  • 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 work in a small-team environment and to work independently and to multi-task with minimal supervision.

Company Overview
Interactive Brokers a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
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.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
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