Compliance Officer - Advertising and Marketing Reviews (2037) Compliance Officer - Advertising and Marketing  …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 23 Jul 19
Competitive
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 23 Jul 19
Competitive
Compliance Officer - Advertising and Marketing Reviews (2037)
Job Description and Responsibilities
Interactive Brokers is looking for a motivated and talented compliance officer who is experienced in reviewing broker/dealer public communications, including marketing, advertising, and public appearances.

  • The Compliance Officer will be responsible for:
  • Collaborating with business personnel and conducting reviews of:
    • IBKR social media postings
    • Google Ad Word Text
    • Print and Direct Mail
    • Brochures
    • Online Banner Ads
    • IBKR educational presentations
    • Third-party content provided to IBKR for re-publication
    • Webinars presented by IBKR
    • Third-party requests to post a description of their services to IBKR's website
  • Filing public communications with regulators, as applicable.
  • Verifying that public communications are appropriately archived and retained.
  • Responding to regulatory requests pertaining to public communications.
  • Maintaining policies and procedures applicable to public communications.


Qualifications

  • 3 - 5 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, broker-dealer or FCM.
  • Appropriate industry registrations (i.e., a Series 7 and Series 24 registration)
  • 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 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


Compensation
  • Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
  • 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts


Company Overview

Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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.
For more information, please visit www.ibkr.com/info

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