Mid-Level RIA Compliance Professional for Compliance Service Provider and Compliance Associate for SEC-Registered Investment Advisor Mid-Level RIA Compliance Professional for  …

Interactive Brokers
in Washington D.C., DC, United States
Permanent, Full time
Last application, 26 Oct 20
Competitive
Interactive Brokers
in Washington D.C., DC, United States
Permanent, Full time
Last application, 26 Oct 20
Competitive
Mid-Level RIA Compliance Professional for Compliance Service Provider and Compliance Associate for SEC-Registered Investment Advisor
Job Description & Requirements
We are looking to expand the teams of two advisor-related companies within the Interactive Brokers Group: Greenwich Compliance (an investment advisor compliance service provider) and Interactive Advisors (an SEC-registered investment advisory firm). Specifically, we would like to add a motivated, talented and experienced compliance professional familiar with the compliance obligations of SEC- and state-registered investment advisors under the Investment Advisers Act of 1940 and similar state statutes.
We will consider either: (a) recent law school graduates with knowledge and/or experience with investment advisors and their compliance obligations, or (b) mid-level professionals with experience in investment advisor regulation and compliance.

Responsibilities
  • In connection with Greenwich Compliance responsibilities:
  • Responding to registration and compliance questions from current and potential investment advisors.
  • Working with advisors to prepare their SEC and state registration filings, including Form ADV filings.
  • Working with advisors to draft their compliance manuals, codes of ethics, and other written policies and procedures.
  • Interacting with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get investment advisors registered.
  • Drafting various written materials for use by advisors to help them meet their compliance obligations and/or respond to regulatory inquiries.
  • Drafting web content and periodic releases on compliance issues of interest to investment advisors.
  • Drafting research memos and/or white papers on various regulatory topics.
  • Researching registration and compliance questions from current and potential investment advisors and the business.
  • Assisting Interactive Advisors' Chief Compliance Officer to ensure Interactive Advisors complies with all obligations imposed by the SEC on investment advisors, including but not limited to annual compliance reviews, advertising material reviews, third-party service provider oversight, maintenance and implementation of compliance policies and procedures, website reviews, updates to Interactive Advisors' filings, and interacting with the business units as needed to carry out Interactive Advisors' compliance obligations.

Qualifications
  • Either (a) a Juris Doctor degree coupled with experience working on investment management compliance issues, or (b) a B.A. or B.S. degree coupled with 2-3 years of experience working on investment advisor regulation and compliance issues.
  • 3-5 years experience in a business or office environment.
  • Solid academic background.
  • Strong attention to detail.
  • Outstanding oral and written communication skills.
  • Ideal candidate should possess relevant experience related to investment advisor registration and/or advisor compliance issues at a regulator, industry association, compliance firm, investment advisory firm, or another broker-dealer.
  • High degree of comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to proactively engage a diverse group of clients.
  • Ability to work in a small-team environment and independently and to multi-task with minimal supervision.




Company Overview
The Interactive Brokers Group ("IB Group") is a publicly traded company (under the ticker IBKR) whose affiliates provide online brokerage services to sophisticated individual and institutional clients. The IB Group and its affiliates serve customers trading securities, commodities and foreign exchange on over 135 market centers, in 33 countries around the world, and 23 currencies. Click HERE to view a short video with a few words from current Interactive Brokers employees. (if hyperlink is deactivated please copy https://www.interactivebrokers.com/en/index.php?f=31899 to your browser)
For more information, please visit https://www.interactivebrokers.com/en/index.php?f=564

Covestor Ltd (dba "Interactive Advisors") is an IB Group affiliate and an investment advisor registered with the U.S. Securities and Exchange Commission offering investment advisory services and portfolio management services. Interactive Advisors primarily conducts its advisory business over the Internet, and is a robo advisor. Interactive Advisors offers an online investment platform through which its clients can invest in a variety of portfolios. The Interactive Advisors website is located at https://interactiveadvisors.com .

Greenwich Advisor Compliance Services ("Greenwich Compliance"), another IB Group affiliate, offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. Greenwich Compliance's website is located at: https://www.greenwichcompliance.com/

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