Associate General Counsel, Regulatory
Company: Interactive Brokers LLC
Posted on: May 3, 2021
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
- 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,
- 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
- Drafting agreements, disclosures, account documentation and
- Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA
and other regulatory authorities.
- 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
- 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
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
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
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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