Compliance Analyst - Account Referrer Program (1941) Compliance Analyst - Account Referrer Program  …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Be the first to apply
Competitive
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Be the first to apply
Competitive
Compliance Analyst - Account Referrer Program (1941)
Job Description and Responsibilities

Interactive Brokers is looking for a motivated and talented compliance analyst to lead the Firm's referral program surveillance efforts.

Responsibilities:
  • The Compliance Analyst will be responsible for
    • Conducting surveillance and due diligence of third parties who refer clients to Interactive through the Firm's Referrer Program.
    • Drafting and implementing firm policies, controls and written supervisory procedures designed to ensure the firm's program is in line with regulatory requirements.
    • Helping to craft detailed written instructions for programmers and technology staff to enhance internal controls.
    • Coordinating responses to regulatory inquiries pertaining to the Referrer Program from the US federal, state and foreign regulators.


Qualifications

  • 3-5 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM.
  • Appropriately registered compliance officer (i.e., at least a 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.
  • Specific experience with broker/dealer referrer programs preferred.
  • Solid academic background.
  • 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
  • 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, and to multi-task with minimal supervision

Compensation:
  • Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
  • 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts


Company Overview

Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
For more information, please visit www.ibkr.com/info

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