Compliance Officer Electronic Trading

Profile

Interactive Brokers LLC, a subsidiary of **MEMBERS ONLY**SIGN UP NOW***. (Nasdaq: IBKR), is a direct access electronic broker serving professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients can access over 150 market centers worldwide from a single integrated platform. For four-plus decades, we have focused on using advanced technology and automation to equip 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 to help position them to achieve superior returns.
Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team. Click the link to view a short video with a few words from current Interactive Brokers employees:
****Interactive Brokers seeks a motivated and talented compliance officer familiar with electronic trading processes and regulations. This individual will be the firm’s lead compliance officer in key areas, including the brokerage system, order routing, market access controls, best execution, and Reg ATS.
Responsibilities:
Working with firm management and programming staff to ensure the firm complies with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others
For each of these topics, the Compliance Officer will be responsible for the following:
Crafting detailed written instructions for programmers and technical staff to enhance internal controls in response to new regulations or the launching of new business lines
Drafting and implementing firm policies, controls and written supervisory procedures
Developing and implementing remedial action plans in response to internal and external audit findings
Drafting regulatory responses for and interacting with SEC, FINRA, and other regulators
Qualifications
6-12 years experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer
Industry registrations or member in good standing of the bar of any US state or the District of Columbia preferred.
Solid academic background
A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulation
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
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 an Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company lunch allowance provided, 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 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

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