Compliance Officer - Advisor Regulation Compliance Officer - Advisor Regulation …

Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 23 Nov 20
Interactive Brokers
in Greenwich, CT, United States
Permanent, Full time
Last application, 23 Nov 20
Compliance Officer - Advisor Regulation
Job Description & Requirements
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 strong experience in state and federal regulations pertaining to Registered Investment Advisors and Commodity Trading Advisors. Knowledge of foreign financial advisor regulations is preferred.

The Compliance Officer - Advisor Regulation will be responsible for:
  • Overseeing all compliance aspects of the firm's financial advisor platform
  • Responding to regulatory inquiries pertaining to the firm's financial advisor clients and platform
  • Coordinating with programmers and other personnel on systems maintenance and enhancements of the firm's financial advisor platform
  • Conducting compliance testing of the firm's financial advisor platform
  • Reviewing and updating policies and procedures pertaining to financial advisor regulations
  • Managing and acting as an escalation point for personnel conducting reviews of financial advisor activity

  • 6-10 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, another broker-dealer or FCM
  • Strong knowledge and experience in the SEC's Investment Advisors Act, CFTC/NFA advisor regulation, and Blue Sky regulation of advisors
  • Appropriately registered compliance officer (i.e., a Series 7, 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia
  • 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, and to multi-task with minimal supervision
  • Experience with Atlassian Confluence/JIRA preferred
  • 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 (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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