Interactive Brokers is looking for an individual to investigate and adjudicate on client complaints in a manner which is fair, professional and in compliance with regulatory requirements and internal policies
The candidate should have an in-depth knowledge of the Consumer Protection Code and the complaints handling requirements contain therein. The candidate should possess knowledge of futures, options, CFDs and equities markets.
Present a resolution for complaints which may relate to a variety of topics such as:
Order routing, order status or execution inquiries such as non-execution, delayed or erroneous execution
Funding issues such as deposit or withdrawal delays, third party fees on funding and processing of position transfers
Statement and tax issues such as dividend reporting, cost basis issues and tax reporting discrepancies or
Level of satisfaction with customer service received
Ensure complaints are handled in a manner which is both fair and in compliance with the Consumer Protection Code
Compose clear and concise summaries of issues which require escalation internally, either to the Programming Department, Senior Management, Legal Department or Compliance Department
Compile Management Information and trend analysis for the Compliance Department
Qualifications & Experience:
Bachelor's or advanced degree in Finance, Law, Economics, Business Administration or other related field
Minimum of 2 years financial services industry experience preferred
Strong interpersonal, verbal and written communication skills
Working knowledge of PC technologies including Microsoft Office applications
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.
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