Job Description & Responsibilities

Interactive Brokers is looking for a compliance officer experienced in reviewing broker/dealer, public communications, marketing and advertising in securities or commodities industry and public appearances. The Compliance Officer – Public Communications will report to the Deputy Chief Compliance Officer. Key responsibilities will include developing compliance solutions that satisfy relevant regulations while executing sound business judgment. The successful will have the ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision.

 commodities industry

Key Responsibilities

  • Independently managing the marketing material compliance review and approval process
  • Conducting reviews of content, including:
    • IBKR social media postings
    • Google Ad Word Text
    • Print and Direct Mail
    • Brochures
    • Online Banner Ads
    • IBKR educational presentations
    • Third-party content provided to IBKR for re-publication
    • Webinars presented by IBKR
    • Third-party requests to post a description of their services to IBKR’s website
  • Partnering with and providing guidance to the business to ensure marketing materials comply with regulatory requirements.
  • Filing public communications with regulators, as applicable.
  • Verifying that public communications are appropriately archived and retained.
  • Responding to regulatory requests pertaining to public communications.
  • Maintaining policies and procedures applicable to public communications.

Qualification & Skills

  • Bachelor's degree and 2 + years of related experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, broker-dealer or FCM.
  • Experience with rules governing advertising in securities or commodities industry.
  • Experience with conducting marketing material reviews.
  • Appropriate industry licenses (Series 7 and 24 required, Series 4 preferred).
  • 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.

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 counselling 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 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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