Compliance Manager or Counsel

  • Competitive
  • Washington D.C., DC, USA
  • Permanent, Full time
  • Interactive Brokers
  • 16 Jan 19

Compliance Manager or Counsel

Job Description and Responsibilities

Interactive Brokers is looking for a motivated and talented lawyer or compliance professional with experience in securities and broker-dealer issues at a regulatory agency, exchange, financial institution, or law firm to work with Interactive's Global Chief Regulatory Officer.
 
Responsibilities:
Assisting the firm's Global Chief Regulatory Officer in managing the Compliance operations of Interactive's various brokerage affiliates around the world, including:

  • Coordinating global compliance projects with the Compliance Officers of the different Interactive Brokers companies in the US, Canada, Europe and Asia-Pacific.
  • Helping to manage the Compliance Officers of the Interactive Brokers companies.
  • Fielding inquiries from Compliance Officers, Compliance Staff and others in the business regarding how to address potential AML or trade surveillance issues presented by IB customer activity.
  • Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
  • Drafting and implementing firm policies and written supervisory procedures.
  • Developing and implementing remedial action plans in response to internal and external audit findings.
 

Qualifications

  • 4-10 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 lawyer in good standing willing to take those exams.
  • Solid academic background.
  • 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 in a small-team environment and to work independently and to multi-task with minimal supervision.
  • Strong organizational and management skills.
  • Experience with AML rules and regulations would be very helpful.
 
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 Group, Inc. (IEX: IBKR); is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 31 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing 797,000 trades per day.¹ 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.
 
¹Figures as of September 30, 2018.