Job Description & Requirements

We are looking to expand the teams of two advisor-related companies within the Interactive Brokers Group: Greenwich Compliance (an investment advisor compliance service provider) and Interactive Advisors (an SEC-registered investment advisory firm).   Specifically, we would like to add a motivated, talented and experienced compliance professional familiar with the compliance obligations of SEC- and state-registered investment advisors under the Investment Advisers Act of 1940 and similar state statutes.

We will consider either: (a) recent law school graduates with knowledge and/or experience with investment advisors and their compliance obligations, or (b) mid-level professionals with experience in investment advisor regulation and compliance. 

 

Responsibilities

  • In connection with Greenwich Compliance responsibilities:
  • Responding to registration and compliance questions from current and potential investment advisors.
  • Working with advisors to prepare their SEC and state registration filings, including Form ADV filings.
  • Working with advisors to draft their compliance manuals, codes of ethics, and other written policies and procedures.
  • Interacting with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get investment advisors registered.
  • Drafting various written materials for use by advisors to help them meet their compliance obligations and/or respond to regulatory inquiries.
  • Drafting web content and periodic releases on compliance issues of interest to investment advisors.
  • Drafting research memos and/or white papers on various regulatory topics.
  • Researching registration and compliance questions from current and potential investment advisors and the business.
  • Assisting Interactive Advisors’ Chief Compliance Officer to ensure Interactive Advisors complies with all obligations imposed by the SEC on investment advisors, including but not limited to annual compliance reviews, advertising material reviews, third-party service provider oversight, maintenance and implementation of compliance policies and procedures, website reviews, updates to Interactive Advisors’ filings, and interacting with the business units as needed to carry out Interactive Advisors’ compliance obligations.

 

Qualifications

  • Either (a) a Juris Doctor degree coupled with experience working on investment management compliance issues, or (b) a B.A. or B.S. degree coupled with 2-3 years of experience working on investment advisor regulation and compliance issues. 
  • 3-5 years experience in a business or office environment.
  • Solid academic background.
  • Strong attention to detail.
  • Outstanding oral and written communication skills.
  • Ideal candidate should possess relevant experience related to investment advisor registration and/or advisor compliance issues at a regulator, industry association, compliance firm, investment advisory firm, or another broker-dealer.
  • High degree of comfort with computers and technology, and 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 proactively engage a diverse group of clients.
  • Ability to work in a small-team environment and independently and to multi-task with minimal supervision.

 

Company Overview

The Interactive Brokers Group (“IB Group”) is a publicly traded company (under the ticker IBKR) whose affiliates provide online brokerage services to sophisticated individual and institutional clients.  The IB Group and its affiliates serve customers trading securities, commodities and foreign exchange on over 135 market centers, in 33 countries around the world, and 23 currencies.  Click HERE to view a short video with a few words from current Interactive Brokers employees. (if hyperlink is deactivated please copy https://www.interactivebrokers.com/en/index.php?f=31899 to your browser)

For more information, please visit https://www.interactivebrokers.com/en/index.php?f=564

 

Covestor Ltd (dba “Interactive Advisors”) is an IB Group affiliate and an investment advisor registered with the U.S. Securities and Exchange Commission offering investment advisory services and portfolio management services.  Interactive Advisors primarily conducts its advisory business over the Internet, and is a robo advisor.  Interactive Advisors offers an online investment platform through which its clients can invest in a variety of portfolios.  The Interactive Advisors website is located at https://interactiveadvisors.com

 

Greenwich Advisor Compliance Services (“Greenwich Compliance”), another IB Group affiliate, offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. Greenwich Compliance’s website is located at: https://www.greenwichcompliance.com/

Apply for this Job

* Required

  
  


U.S. Equal Opportunity Employment Information (Completion is voluntary)

Individuals seeking employment at Interactive Brokers are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements.

Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.


Form CC-305

OMB Control Number 1250-0005

Expires 05/31/2023

Voluntary Self-Identification of Disability

Why are you being asked to complete this form?

We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years.

Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition.

Disabilities include, but are not limited to:

  • Autism
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
  • Blind or low vision
  • Cancer
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or hard of hearing
  • Depression or anxiety
  • Diabetes
  • Epilepsy
  • Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
  • Intellectual disability
  • Missing limbs or partially missing limbs
  • Nervous system condition for example, migraine headaches, Parkinson’s disease, or Multiple sclerosis (MS)
  • Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression

1Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.