Interactive Brokers is looking for a motivated and talented Compliance Associate to join our compliance team at our headquarters in Greenwich, CT. You will report to the Head of Electronic Trading Compliance and focus on compliance with electronic trading and markets regulations, including Market Access, Order Routing, and Best Execution.

Key Responsibilities:

Collaborate with Compliance, Legal, Business, Development, and cross functional teams across the firm to ensure compliance with rules and regulatory guidance related to electronic trading and markets, including but not limited to: Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.

    • For each of these subject areas, the Compliance Associate will be responsible for:
      • Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators
      • Coordinating regulatory inquiries, including hands-on data analysis and drafting written responses
      • Crafting detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and the launching of new business lines
      • Drafting and implementing firm policies, controls, and written supervisory procedures
      • Developing and implementing remedial action plans in response to internal and external audit findings
      • Reviewing surveillance reports and escalating as necessary

Qualifications:

  • 3+ years’ experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm.
  • Appropriately registered compliance officer (i.e., Series 7 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
  • Solid academic background and proven interest in financial markets
  • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
  • Knowledge of equities, options, futures, and fixed income market structure and related electronic trading systems, flows, and strategies
  • Experience with data processing (e.g., Microsoft Excel, Access)
  • Outstanding oral and written communication skills

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan (401K) with 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 with Udemy
  • Modern offices with sit/stand desks and multi-monitor setups

 

Company Overview

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, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg,Russia, Singapore, Switzerland and United Kingdom.

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 HERE to view a short video with a few words from current Interactive Brokers employees.

(If the hyperlink is not active, copy and paste the following URL in your browser: https://www.interactivebrokers.com/en/index.php?f=31899)

For more information, please visit www.ibkr.com/info

 

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