Compliance Officer Advisor Regulation

Profile

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.
Responsibilities:
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
Managing team of compliance analysts conducting reviews of financial advisor activity
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
Serve as escalation point on financial advisor reviews and issues.
Qualifications
6 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
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
Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., 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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