Compliance Officer - Core Compliance Compliance Officer - Core Compliance …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 15 Sep 20
Competitive
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 15 Sep 20
Competitive
Compliance Officer - Core Compliance
Job Description & Requirements
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 with strong experience in compliance testing, policy management, and coordinating with regulatory bodies.
Responsibilities:
The Compliance Officer - Core Compliance will be responsible for:
  • Developing and managing the firm's compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practice
  • Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with listed standards
  • Reporting compliance testing findings to management
  • Tracking compliance testing findings from discovery to remediation
  • Overseeing the firm's policies and procedures
  • Coordinating with various departments to ensure that policies and procedures are reviewed and updated as needed, as well as in accordance with stated frequency requirements.
  • Partnering with compliance programming staff and/or technology vendors to implement policy and procedure technology enhancements
  • Coordinating regulatory exams




Qualification
  • 5-10 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, reputable audit firm, another broker-dealer or FCM
  • Appropriately registered compliance officer (i.e., a Series 7, 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia
  • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred
  • Outstanding oral and written communication skills
  • Ability to develop compliance technology 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
  • Experience managing individuals and/or small teams
  • Experience with Atlassian Confluence/JIRA preferred
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 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. (if hyperlink is deactivated please copy https://www.interactivebrokers.com/en/index.php?f=31899 to your browser)
For more information, please visit www.ibkr.com/info

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