Compliance Officer Brokers-Dealers

Profile

Job Description
Interactive Brokers is looking for a motivated, financial services professional with in-depth knowledge of brokerage industry regulations for securities and commodities, and experience with compliance, internal controls and risk management.
Responsibilities
The Compliance Officer’s primary focus will be to:
Provide compliance coverage for all aspects of broker-dealer clients
Design periodic and adhoc reports and complete associated reviews and for relevant client base
Employ investigative techniques to carry out due diligence for certain types of clients and/ or third parties
Implement internal control enhancements and appropriately solution potential compliance matters
Escalate and track enhancements and issue remediation through to resolution
Assist draft business specifications to create and improve surveillance and compliance tools
Assist coordinate responses to regulatory inquiries from foreign and US regulators
Draft and implement firm policies, controls and written supervisory procedures
Coordinate with business departments to research, interpret and advise the firm on compliance with applicable laws, regulations and guidance
Developing and implementing remedial action plans in response to internal and external audit findings
Qualifications
7-10 years’ experience with a broker-dealer, bank, or regulator
Solid academic background with Bachelors or Masters in Finance, Business, Economics, Computer Science preferred
Expert knowledge of SEC, FINRA, CFTC, CME, NFA, US and relevant foreign regulations is required
High degree of comfort and fluency with computers and technology, and an 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 work both independently as well as in a small-team environment, and to multi-task with minimal supervision
Securities or Commodities licenses are a plus
Knowledge of information systems, software development, UNIX, SQL, Perl and databases is a plus
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 LLC, a subsidiary of **MEMBERS ONLY**SIGN UP NOW***. (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: ****

Company info

Sign Up Now - WashingtondcCrossing.com