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. In particular, we are looking for someone with a wide range of expertise in various product types and back-office functions.
The Compliance Analyst – Special Products and Back Office will be responsible for supporting the team lead in their various responsibilities, including:
- Providing advisory compliance coverage over IBKR's entire product and service offering (including equities, options, futures, margin, ETFs, fixed income, mutual funds, cryptocurrency, retail forex, metals, stock loan, and more).
- Handling regulatory matters and customer complaints related to a variety of product types and services.
- Meeting with and responding to examiners from the SEC, FINRA, CFTC, CME and others.
- Conducting testing of the firm’s existing internal controls against regulatory requirements and expectations.
- Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants.
- Crafting detailed business requirements for programmers and technology staff to enhance internal controls in response to new regulations or 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.
- 3+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM
- Strong preference for industry registration (i.e., SIE, Series 7, 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 preferred
- Ability to manage multiple projects and operate within a fluid regulatory environment
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred
- Outstanding oral and written communication skills
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
- Ability to work both independently as well as in a small-team environment with minimal supervision
- Advanced skill in Microsoft Office Excel
- Atlassian Confluence/JIRA, JQL, SQL and Python preferred
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive 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
- Modern offices with sit/stand desks and multi-monitor setups
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, 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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For more information, please visit www.ibkr.com/info