Compliance Officer - Special Products and Back Office Compliance Officer - Special Products and Back  …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 16 Sep 20
Competitive
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 16 Sep 20
Competitive
Compliance Officer - Special Products and Back Office
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 a wide range of expertise in various product types and back office functions.

Responsibilities:
The Compliance Officer - Special Products and Back Office will be responsible for:
  • Handling regulatory issues related to a variety of product types and services, such as foreign exchange, mutual funds, bonds, customer stock lending and margin.
  • Providing compliance coverage for certain back-office functions, including Clearing.
  • Coordinating with other departments on customer protection regulations (good control locations, no-lien letters, and proprietary accounts).
  • Meeting with and responding to examiners from the SEC, FINRA, CFTC, CME and other regulatory requests.
  • Assessing the firm's existing internal controls against regulatory requirements and expectations.
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants.
  • Crafting detailed business requirements for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines.
  • Drafting and implementing firm policies, controls and written supervisory procedures.
  • Developing and implementing remedial action plans in response to internal and external audit findings.




Qualification
  • 6-12 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM
  • Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred
  • 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 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
  • Advanced skill in Microsoft Office and 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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