Compliance Records Management Officer
The Compliance Records Management Officer
will establish and manage the firm's books and records policies and work closely with the firm's software development groups to ensure that records are accurately and consistently maintained. The Records Management Officer will be responsible for ensuring that the firm has a complete map of where its data and documents are stored and confirming that these retention efforts are in line with applicable regulatory requirements in all applicable jurisdictions (countries).
The Records Management Officer will work collaboratively with stakeholders in Legal, Compliance, Electronic Records Administration, Operations, and Software Development groups to:
Job Requirements and Desired Skills
- Design an enterprise-wide records management framework.
- Establish comprehensive firm-wide procedures and enhance existing controls to facilitate a sustainable record management process.
- Identify any existing inefficiencies with the firm's current maintenance and/or storage of books and records and design enhancements to address them.
- Guide department managers on record-keeping and retention procedures and requirements
- Bachelor's required. Preferred majors include Information Management, Data Sciences, Computer Sciences, MIS, or Finance
- 5+ years of experience in the financial services industry
- Experience working with records management systems
- Certified Records Manager (CRM), Information Governance Professional (IGP), is a plus.
- Ability to manage a large scale project and work effectively with other team members in a technical setting.
- A high level of comfort with Information Technology is needed to interface with team members, navigate records, conduct testing, re-mediate system alerts and author training materials.
- An understanding of the financial products and knowledge of relevant regulations, or ability to learn them quickly.
- Familiarity with scripting or query language is a plus.
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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For more information, please visit www.ibkr.com/info