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Compliance Officer - Special Products and Back Office

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

Job Description:

Compliance Officer - Special Products and Back Office 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 a wide range of expertise in various product types and back office functions. Responsibilities: The Compliance Officer - Special Products and Back Office will be responsible for:

  • Handling regulatory issues related to a variety of product types and services, such as foreign exchange, mutual funds, bonds, customer stock lending and margin.
  • Providing compliance coverage for certain back-office functions, including Clearing.
  • Coordinating with other departments on customer protection regulations (good control locations, no-lien letters, and proprietary accounts).--
  • Meeting with and responding to examiners from the SEC, FINRA, CFTC, CME and other regulatory requests.
  • Assessing the firm's existing internal controls against regulatory requirements and expectations.
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants.
  • Crafting detailed business requirements for programmers and technology 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. Qualification
    • 6-12 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM
    • Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred
    • 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 managing individuals and/or small teams
    • Advanced skill in Microsoft Office and Atlassian Confluence/JIRA preferred. Compensation:
      • Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
      • 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts Company Overview Interactive Brokers 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia. IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world. 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. --*
        -- If you selected Employee Referral, College/University, or Other Please type details:
        source2 LinkedIn Profile
        Website
        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 IBKR 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 www.dol.gov/ofccp . 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 www.dol.gov/ofccp . 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 Officer - Special Products and Back Office, Administration, Clerical , Greenwich, Connecticut

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