Deputy Chief Compliance Officer (Greenwich, CT)


Interactive Brokers Group, Inc. (NASDAQ: IBKR) is an automated electronic broker and market maker in equities, options, futures, bonds and foreign exchange around the world. With over $15 billion in market capitalization, IBKR trades 9% of the listed equity options volume worldwide, executing, clearing, settling and accounting for over one million trades per day. The Company’s brokerage operations are conducted by its Interactive Brokers subsidiaries and its proprietary market-making operations are conducted by its Timber Hill subsidiaries. IBKR employs approximately 1,200 people and is based in Greenwich, Connecticut.[1]

Interactive Brokers (“IB”) is the largest U.S. broker, measured by trades, offering direct-access electronic trade execution and clearing for active traders, institutional investors, financial advisors and introducing brokers. IB serves more than 370 thousand customers in trading securities, commodities and foreign exchange in 23 currencies on over 100 market centers in 24 countries around the world. The firm leverages highly automated systems it builds for all aspects of its business to maintain a low cost base as the business expands. The business is in a stage of rapid growth.

Interactive Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures commission merchant, as well as a member of FINRA, NFA, and all major securities and commodities exchanges.

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.

Responsibilities

Handling regulatory inquiries from the SEC, FINRA, CFTC, CME, NFA and foreign regulators concerning securities, commodities and derivatives trading and compliance issues

Meeting with and responding to the SEC, FINRA, CFTC, CME and other regulators during onsite examinations of the firm

Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants

Crafting written 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

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

Solid academic background

High degree of 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

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

Click here to apply.


Related Post