Compliance Testing Officer

Found in: beBee S US - 3 weeks ago

Greenwich Connecticut United States Interactive Brokers Full time
Job Description

Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program.

Responsibilities

The primary responsibilities of the Compliance Testing Officer include:

  • Managing the firmâs annual compliance testing program
  • Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
  • Assist in the development of the firmâs compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
  • Execute the firmâs compliance testing program,
  • Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
  • Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.
  • Tracking compliance testing findings from discovery to remediation.
  • Other Core Compliance activities as needed.

Qualifications

  • At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM.  Experience in a compliance testing or audit role is strongly preferred.
  • Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
  • High degree of comfort and fluency with computers and technology.
  • Outstanding oral and written communication skills.
  • Ability to work both independently and to multi-task with minimal supervision.
  • Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
  • Experience with Atlassian Confluence/JIRA preferred.
Company Benefits & Perks
  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with a competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
  • Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
  • Paid time off and a generous parental leave policy
  • Daily company lunch allowance provided, 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 multi-monitor setups

 

  • Compliance Testing Officer

    Found in: beBee jobs US - 3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    Job DescriptionInteractive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing,...

  • Compliance Testing Officer

    3 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionJob DescriptionInteractive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone...

  • Compliance Testing Officer

    1 week ago

    Greenwich, United States Interactive Brokers Full time

    Job Description Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in...

  • Compliance Testing Officer

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago

    Greenwich, United States Partnership Employment Full time

    ResponsibilitiesPerforming broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirementsThe testing will focus on key regulatory requirements, controls and processes related to securities, banking products, futures, exchange traded derivatives and swapsExecuting the firm’s annual...

  • Compliance Testing Officer

    7 days ago

    Greenwich, United States RightWorks Staffing Full time

    Compliance Testing Officer Our company is searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations. The ideal candidate will be...

  • Senior Compliance Officer

    23 hours ago

    Greenwich, United States Larson Maddox Full time

    A global investment firm in NYC is looking for a Senior Compliance Officer to join their team. The Senior Compliance Officer will work alongside the Chief Compliance Officer to oversee the firm's public markets trading compliance program. This role will be performed on a hybrid schedule. Responsibilities : Manage firm's compliance testing program Administer...

  • Compliance Associate – Electronic Trading Compliance

    Found in: beBee S US - 3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote).   Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...

  • Compliance Associate

    1 week ago

    Greenwich, United States RightWorks Staffing Full time

    Compliance Associate Responsibilities Conduct compliance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks Develop and maintain effective partnership with the Front Line Unit,...

  • Senior Data Analyst

    Found in: beBee S US - 3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...

  • Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

    Found in: Careerbuilder One Red US C2 - 3 weeks ago

    New York, NY, United States Compliance Recruitment Solutions Full time

    Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

  • Technology Compliance

    Found in: beBee S US - 3 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

     Job Description  Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment.  Responsibilities The Senior Compliance Analyst’s primary focus will be to: Support compliance coverage of the firm’s technology and data enterprise, and...

  • Manager, Compliance Testing

    18 hours ago

    Farmington HIlls, MI, United States Comerica Full time

    Compliance Testing ManagerThe Manager, Compliance Testing within the second line of defense is responsible for planning, developing, implementing, and managing a comprehensive risk-based compliance testing program for their area of responsibility.Position Repsonsibilities:Compliance Testing, Monitoring and ReportingProvide guidance and lead a team...

  • Business Compliance Officer

    Found in: Careerbuilder One Red US C2 - 3 weeks ago

    Pittsburgh, PA, United States BNY Mellon Full time

    Overview of BNY Mellon: BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 35 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations, and high-net-worth individuals, providing superior asset management...

  • Mission Compliance Test Auditor with Security Clearance

    Found in: Careerbuilder One Red US C2 - 6 days ago

    Chantilly, VA, United States SAIC Full time

    Description SAIC is seeking a Mission Compliance Test Auditor to join our team in our Chantilly, VA office. This position provides specialized engineering, analysis, and operations support to a variety of US Government (USG) customers. We support the generation after next of national security- related systems based in space, in the air, and on the ground. We...

  • Compliance Associate – Electronic Trading Compliance

    Found in: beBee jobs US - 2 weeks ago

    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERSThis is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...

  • Compliance Professional

    7 days ago

    Greenwich, United States CareerBuilder Full time

    ABS Global Investments is a global investment firm specializing in sourcing alpha opportunities across global equity strategies. ABSs diverse global team and collaborative environment promote independent thinking and constructive debate. Our employees share an ownership mentality and a common commitment to the long-term success of our firm and an alignment...

  • Compliance Professional

    Found in: Appcast Linkedin GBL C2 - 3 weeks ago

    Greenwich, United States ABS Global Investments Full time

    ABS Global Investments is a global investment firm specializing in sourcing alpha opportunities across global equity strategies. ABS’s diverse global team and collaborative environment promote independent thinking and constructive debate. Our employees share an ownership mentality and a common commitment to the long-term success of our firm and an...

  • Compliance Associate

    3 weeks ago

    Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionAbout INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote).Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and...

  • Senior Compliance Analyst

    1 week ago

    Greenwich, United States CareerBuilder Full time

    Technical Compliance Analyst Looking for someone with strong experience in NIST, ISO, COBIT and SEC Typical Duties And Responsibilities Manage annual IT testing for internal and external audits, risk assessments, and regulatory, legal, and policy compliance Lead preparation for annual IT testing activities Conduct IT Compliance training sessions to prepare...

  • Senior Data Analyst

    5 days ago

    Greenwich, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS!This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push...