Financial Regulatory Compliance Manager (2102) Financial Regulatory Compliance Manager (2102) …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 28 Jan 20
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 28 Jan 20
Financial Regulatory Compliance Manager (2102)
Job Description & Requirements

The regulatory reporting manager will have the responsibility for safeguarding customer money and for ensuring compliance with net capital, for our US registered broker-dealer and FCM. The position offers an opportunity for significant growth. It will suit an intellectually curious person who is keen to learn about regulatory work at an international and technologically advanced broker. In time, and with the training to be provided as part of the role, the manager will expand to other jurisdictions.
This position will require a highly organized, analytical thinker who is persistent as well as resourceful in getting to the right answer. Candidates with intellectual curiosity, and attention to detail will thrive in this role. The ability to streamline and automate manual processes will be highly valued. This role does not require travel.

  • Daily securities and commodities customer protection computations in the US and equivalent computations around the world.
  • Review of regulatory filings.
  • Keep track of new rules and requirements.
  • Research regulatory impact of new business initiatives.
  • Participate in regulatory examinations relating to financial matters.
  • Learn new regulatory jurisdictions and interplay of regulatory rules between jurisdictions.
  • Supervise and develop staff.
  • Continue to improve automation for all aspects of regulatory reporting.
  • Further document and improve regulatory controls and procedures.


  • +5 years regulatory reporting experience (15c3-3, 15c3-1, 1.20, 30.7, FOCUS, etc.).
  • Ability to evaluate current procedures and design and implement changes in order to streamline operations, while ensuring sufficient checks and balances.
  • Prior experience in highly automated environment and ability to specify programming requirements is a plus.
  • Bachelors or higher degree.
  • Experience in accounting is a plus.
  • Interest in and ability to learn regulatory rules in new jurisdictions.

Other Specific Skills & Knowledge:
  • Prior experience with handling regulatory audits.
  • Ability to work independently in a fast-paced and high-volume environment with emphasis on accuracy and timeliness.
  • High degree of comfort and proficiency with computerized systems.
  • Must be well organized, a self-starter and have strong work ethics.
  • Ability to work co-operatively with multiple teams.
  • Experience with Oracle Financials is a plus.
  • Prior experience in automation of operational tasks is a strong plus.

Company Overview
Interactive Brokers ("IBKR"), 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.
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