Compliance Officer Brokers-Dealers

Profile

Job Description

Interactive Brokers is looking for a motivated, financial services professional with in-depth knowledge of brokerage industry regulations for securities and commodities, and experience with compliance, internal controls and risk management.

Responsibilities

The Compliance Officer’s primary focus will be to:

Provide compliance coverage for all aspects of broker-dealer clients

Design periodic and adhoc reports and complete associated reviews and for relevant client base

Employ investigative techniques to carry out due diligence for certain types of clients and/ or third parties

Implement internal control enhancements and appropriately solution potential compliance matters

Escalate and track enhancements and issue remediation through to resolution

Assist draft business specifications to create and improve surveillance and compliance tools

Assist coordinate responses to regulatory inquiries from foreign and US regulators

Draft and implement firm policies, controls and written supervisory procedures

Coordinate with business departments to research, interpret and advise the firm on compliance with applicable laws, regulations and guidance

Developing and implementing remedial action plans in response to internal and external audit findings

Qualifications

7-10 years’ experience with a broker-dealer, bank, or regulator

Solid academic background with Bachelors or Masters in Finance, Business, Economics, Computer Science preferred

Expert knowledge of SEC, FINRA, CFTC, CME, NFA, US and relevant foreign regulations is required

High degree of comfort and fluency with computers and technology, and an understanding of how technology is applied to business and regulatory problems

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

Securities or Commodities licenses are a plus

Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant

Retirement plan 401(k) with competitive company match

Excellent health and welfare benefits including medical, dental, and vision benefits

Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)

Paid time off and a generous parental leave policy

Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack

Corporate events including team outings, dinners, volunteer activities and company sports teams

Education reimbursement and learning opportunities

Modern offices with multi-monitor setups

Company Overview

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.

Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.

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 the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899

Company info

Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com