Compliance Associate – Electronic Trading Compliance

2 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 push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.

Interactive Brokers seeks a motivated and talented compliance officer to join its Compliance group. The candidate will report to the Head of Electronic Trading Compliance and focus on compliance with trading and market regulations, including Market Access, Order Routing, and Best Execution.

Responsibilities:

  • Work with colleagues in Compliance, Legal, Business, Development, and other teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including but not limited to Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.
  • For each of these subject areas, the Compliance Officer will be responsible for:
  • Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators
  • Coordinating regulatory inquiries, including hands-on data analysis and drafting written responses
  • Crafting detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and the launching of new business lines
  • Drafting and implementing firm policies, controls, and written supervisory procedures
  • Developing and implementing remedial action plans in response to internal and external audit findings
  • Reviewing surveillance reports and escalating as necessary

Qualifications:

  • 2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas.
  • Appropriately registered compliance officer (i.e., Series 7 and/or Series 3 registration) or member in good standing of the bar of any US state or the District of Columbia preferred.
  • Solid academic background and proven interest in financial markets
  • High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
  • Knowledge of equities, options, futures, fixed-income market structure, and related electronic trading systems, flows, and strategies.
  • Experience with Python or other data processing and visualization tools preferred
  • Outstanding oral and written communication skills
  • Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
  • Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision

To be successful in this position, you will have the following:

  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills
  • Outstanding organizational and time management skills
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, and a 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

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