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Compliance Officer - Advisor Regulation

Company: Interactive Brokers
Location: Greenwich
Posted on: October 8, 2020

Job Description:

Job Description & RequirementsInteractive 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 strong experience in state and federal regulations pertaining to Registered Investment Advisors and Commodity Trading Advisors. Knowledge of foreign financial advisor regulations is preferred.Responsibilities:The Compliance Officer – Advisor Regulation will be responsible for:Overseeing all compliance aspects of the firm’s financial advisor platformResponding to regulatory inquiries pertaining to the firm’s financial advisor clients and platformCoordinating with programmers and other personnel on systems maintenance and enhancements of the firm’s financial advisor platformConducting compliance testing of the firm’s financial advisor platformReviewing and updating policies and procedures pertaining to financial advisor regulationsManaging and acting as an escalation point for personnel conducting reviews of financial advisor activityQualification:6-10 years’ experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, another broker-dealer or FCMStrong knowledge and experience in the SEC’s Investment Advisors Act, CFTC/NFA advisor regulation, and Blue Sky regulation of advisorsAppropriately registered compliance officer (i.e., a Series 7, 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of ColumbiaHigh 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 preferredOutstanding oral and written communication skillsAbility to develop compliance solutions that satisfy relevant regulations while executing sound business judgmentAbility to work both independently as well as in a small-team environment, and to multi-task with minimal supervisionExperience with Atlassian Confluence/JIRA preferredCompensation: Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accountsCompany 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. (if hyperlink is deactivated please copy to your browser)For more information, please visit

Keywords: Interactive Brokers, Greenwich , Compliance Officer - Advisor Regulation, Other , Greenwich, Connecticut

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