Interactive Brokers is looking for a motivated and talented Compliance Testing Officer who is familiar with U.S. securities and/or commodities regulations and has appropriate experience at a regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program.
The primary responsibilities of the Compliance Testing Officer include:
- Developing, executing and managing the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
- Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
- Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
- Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.
- Tracking compliance testing findings from discovery to remediation.
- Other Core Compliance activities as needed.
- Manage staff in the testing function.
- At least 7+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
- High degree of comfort and fluency with computers and technology.
- Outstanding oral and written communication skills.
- Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision.
- Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
- Experience with Atlassian Confluence/JIRA preferred.
- Audit Certification preferred.
- Managerial experience 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 multi-monitor setups
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.
Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.
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 the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899