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Compliance Associate - Electronic Trading Compliance

Company: Interactive Brokers Group, Inc.
Location: Greenwich
Posted on: February 25, 2021

Job Description:

Compliance Associate - Electronic Trading Compliance Interactive Brokers is looking for a motivated and talented Compliance Officer to join our compliance team at our headquarters in Greenwich, CT. You will report to the Head of Electronic Trading Compliance and focus on compliance with trading and markets regulations, including Market Access, Order Routing, and Best Execution. Key Responsibilities:

  • Collaborate with Compliance, Legal, Business, Development, and cross functional teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including but not limited to: Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.
    • For each of these subject areas, the Compliance Officer will be responsible for:
      • Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators
      • Coordinating regulatory inquiries, including hands-on data analysis and drafting written responses
      • Crafting detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and 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
      • Reviewing surveillance reports and escalating as necessary Qualifications:
        • 3-5 years' experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm.
        • Appropriately registered compliance officer (i.e., Series 7 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
        • Solid academic background and proven interest in financial markets
        • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
        • Knowledge of equities, options, futures, and fixed income market structure and related electronic trading systems, flows, and strategies
        • Experience with data processing (e.g., Microsoft Excel, Access)
        • Outstanding oral and written communication skills
        • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment Company Benefits & Perks
          • Competitive salary, annual performance-based bonus and stock grant
          • Retirement plan (401K) with 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 with Udemy
          • Modern offices with sit/stand desks and multi-monitor setups 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, Russia, Singapore, Switzerland and UK. 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 HERE to view a short video with a few words from current Interactive Brokers employees. Do you now, or will you in the future, need sponsorship from an employer in order to obtain, extend or renew your authorization to work in the United States? Please note: if you are on F-1 Optional Practical Training (OPT) answer YES. We will review your individual case if selected for a position. --*
            -- FINRA Registration: (select all that apply) --*
            Series 3 - National Commodities Futures
            Series 6 - Investment Company and Variable Contracts Products Representative
            Series 7 - General Securities Representative
            Series 79 - Investment Banking Representative
            Series 82 - Private Securities Offerings Representative
            Series 86/87 - Research Analyst
            Series 99 - Operations Professional
            Series 4 - Registered Options Principal
            Series 9/10 - General Securities Sales Supervisor
            Series 14 - Compliance Officer
            Series 16 - Supervisory Analysts
            Series 23 - General Securities Principal - Sales
            Series 24 - General Securities Principal
            Series 26 - Investment Company Products/Variable Contracts Limited Principal
            Series 27 - Financial and Operations Principal
            Series 28 - Introducing Broker/Dealer Financial and Operations Principal
            Series 39 - Direct Participation Programs Limited Principal
            Other series not listed
            If you selected Employee Referral, College/University, or Other Please type details:
            source2 LinkedIn Profile
            I certify that all information I have provided in order to apply and secure employment with this employer is true, complete and correct.I understand that any information provided by me that is found to be false, incomplete or misrepresented in any aspect, will be sufficient cause to (i) eliminate me from further consideration for employment, or (ii) may result in my immediate discharge from the employer's service, whenever it is discovered. --*
            Please select U.S. Equal Opportunity Employment Information (Completion is voluntary) Individuals seeking employment at Interactive Brokers are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file. Gender Please select Are you Hispanic/Latino? Please select Race & Ethnicity Definitions If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows: A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability. A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service. An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense. An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985. Veteran Status Please select Form CC-305 OMB Control Number 1250-0005 Expires 05/31/2023 Voluntary Self-Identification of DisabilityWhy are you being asked to complete this form? We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years. Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at . How do you know if you have a disability? You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition. Disabilities include, but are not limited to:
            • Autism
            • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
            • Blind or low vision
            • Cancer
            • Cardiovascular or heart disease
            • Celiac disease
            • Cerebral palsy
            • Deaf or hard of hearing
            • Depression or anxiety
            • Diabetes
            • Epilepsy
            • Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
            • Intellectual disability
            • Missing limbs or partially missing limbs
            • Nervous system condition for example, migraine headaches, Parkinson's disease, or Multiple sclerosis (MS)
            • Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression Disability Status Please select 1 Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at . PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

Keywords: Interactive Brokers Group, Inc., Greenwich , Compliance Associate - Electronic Trading Compliance, Accounting, Auditing , Greenwich, Connecticut

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