GreenwichRecruiter Since 2001
the smart solution for Greenwich jobs

Associate General Counsel, Regulatory

Company: Interactive Brokers
Location: Greenwich
Posted on: August 21, 2020

Job Description:

Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in securities and broker-dealer issues who is interested in joining the firm's General Counsel office either in Greenwich, CT or Washington, DC. Responsibilities:Assisting the firm's Chief Regulatory Counsel in handling various regulatory matters, including:Evaluating the legal and regulatory impact of new proposed business lines or offerings.Advising the firm's Compliance Department and various business lines on federal securities and commodities law, including federal statutes, SEC and CFTC rules, and SRO rules (e.g., FINRA, NFA, CME, etc.)Identifying necessary changes to the firm's systems and procedures to meet new rules/regulations.Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines. Drafting agreements, disclosures, account documentation and website materials.Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.Qualifications:5-10 years post-J.D. experience at a law firm (with broker-dealer advisory experience), financial services regulatory agency, exchange or broker-dealer. Experience with bank regulatory issues as well is a plus, but not required.Experience in handling regulatory and enforcement matters.Member in good standing of the bar of any U.S. state or the District of Columbia.Solid academic background.High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.Outstanding oral and written communication skillsAbility to work in a small-team environment and to work independently and to multi-task with minimal supervision.Company OverviewInteractive 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.Click HERE to view a short video with a few words from current Interactive Brokers employees.For more information, please visit

Keywords: Interactive Brokers, Greenwich , Associate General Counsel, Regulatory, Legal , Greenwich, Connecticut

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Legal Jobs


Associate Counsel - Contracts and Compliance
Description: Associate Counsel - Contracts and Compliance Opportunity ID 2465 Department s Practice Management Location s Parsippany Job description CohnReznick LLP is seeking an in-house attorney for its growing (more...)
Company: CohnReznick
Location: Parsippany
Posted on: 09/21/2020

In House Counsel Jobs New York - JDHuntr 37317 Vice President HR, Human Resources, New York, NY
Description: In House Counsel Jobs New York - JDHuntr 37317 Vice President HR, Human Resources, New York, NY To apply go to JDHuntr.com Lead the daily
Company: JDHuntr In-House Counsel Jobs
Location: New York
Posted on: 09/21/2020

Credentialed Tax Expert - CPA, Enrolled Agent or Practicing Attorney Seasonal Remote
Description: Overview 10 10 If you are a highly motivated individual with an active unrestricted credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete (more...)
Company: Intuit
Location: Roselle Park
Posted on: 09/21/2020


Credentialed Tax Expert - CPA, Enrolled Agent or Practicing Attorney -?? Seasonal Remote
Description: Overview If you are a highly motivated individual with an active unrestricted credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete their (more...)
Company: Intuit
Location: Carlstadt
Posted on: 09/21/2020

Legal Office Manager
Description: In this role you will assist the in-house legal team with multiple tasks including running and analyzing reports would be helpful to say what type of reports , processing accounts payables, and other (more...)
Company: Plymouth Rock Assurance
Location: Garden City
Posted on: 09/21/2020

Credentialed Tax Advisor - CPA, Enrolled Agent or Attorney
Description: Overview 10 10 If you are a highly motivated individual with an active unrestricted credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete (more...)
Company: Intuit
Location: Oakland
Posted on: 09/21/2020

Credentialed Tax Advisor - CPA, Enrolled Agent or Attorney
Description: Overview 10 10 If you are a highly motivated individual with an active unrestricted credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete (more...)
Company: Intuit
Location: Montville
Posted on: 09/21/2020

Paralegal (Corporate, Finance & Securitization)
Description: New York City Office of Am Law Firm is looking for a Paralegal to support attorneys in the Finance Group, in particular with securitization matters.-- Assists in the preparation and filing of SEC and (more...)
Company: Special Counsel
Location: New York
Posted on: 09/21/2020

Credentialed Tax Professional - CPA Enrolled Agent or Attorney - Seasonal Remote
Description: Overview 10 10 If you are a highly motivated individual with an active unrestricted credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete (more...)
Company: Intuit
Location: Montville
Posted on: 09/21/2020

Credentialed Tax Expert - CPA, Enrolled Agent or Practicing Attorney Seasonal Remote
Description: Overview 10 10 If you are a highly motivated individual with an active unrestricted credential CPA/EA/Practicing Attorney and excellent communication skills, we need you to help our customers complete (more...)
Company: Intuit
Location: Uniondale
Posted on: 09/21/2020

Log In or Create An Account

Get the latest Connecticut jobs by following @recnetCT on Twitter!

Greenwich RSS job feeds