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Associate General Counsel, Regulatory

Company: Interactive Brokers LLC
Location: Greenwich
Posted on: May 3, 2021

Job Description:

Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining the firm's General Counsel office either in Greenwich, CT or Washington, DC. Strong knowledge of electronic trading systems and/or computer systems is a substantial plus factor.

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:

  • At least 5 years of post-J.D. experience at a law firm (with broker-dealer or FCM advisory experience), financial services regulatory agency, exchange, broker-dealer or FCM. Experience with '40 Act matters 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 skills
  • Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401k 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 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
  • 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, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.

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 the hyperlink is not active, copy and paste the following URL in your browser: https://www.interactivebrokers.com/en/index.php?f=31899)

For more information, please visit www.ibkr.com/info

Keywords: Interactive Brokers LLC, Greenwich , Associate General Counsel, Regulatory, Other , Greenwich, Connecticut

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