Compliance Testing Officer
2 weeks ago
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 firm's 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 firm's 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 firm's 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.
- 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
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
-
Compliance Testing Officer
Found in: beBee jobs US - 2 weeks ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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
7 days ago
Greenwich, United States Interactive Brokers Full timeJob 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 timeResponsibilitiesPerforming 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
4 days ago
Greenwich, United States RightWorks Staffing Full timeCompliance 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...
-
Compliance Testing Officer
Found in: beBee S US - 2 weeks ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob 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 Associate
7 days ago
Greenwich, United States RightWorks Staffing Full timeCompliance 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,...
-
Compliance Associate – Electronic Trading Compliance
Found in: beBee jobs US - 1 week ago
Greenwich, Connecticut, United States Interactive Brokers Full timeAbout 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
4 days ago
Greenwich, United States CareerBuilder Full timeABS 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
1 week ago
Greenwich, United States Abs Global Investments Full timeABS 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 - 2 weeks ago
Greenwich, United States ABS Global Investments Full timeABS 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
2 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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
7 days ago
Greenwich, United States CareerBuilder Full timeTechnical 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
2 days ago
Greenwich, United States Interactive Brokers Full timeAbout 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...
-
Senior Data Analyst
2 weeks ago
Greenwich, United States Interactive Brokers Full timeJob 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...
-
Technology Compliance
Found in: beBee jobs US - 1 week ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob Description Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment. ResponsibilitiesThe Senior Compliance Analyst's primary focus will be to:Support compliance coverage of the firm's technology and data enterprise, and coverage for...
-
Technology Compliance
2 weeks ago
Greenwich, United States Interactive Brokers Full timeJob DescriptionJob Description 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. ResponsibilitiesThe Senior Compliance Analyst's primary focus will be to:Support compliance coverage of the firm's technology and data...
-
Technology Compliance
1 week ago
Greenwich, United States Interactive Brokers Full timeJob 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 coverage for...
-
Medical Office Manager
7 days ago
Greenwich, United States Boston Childrens Health Physicians LLP Full time**COVID vaccine will be required unless medical / religious exemption.** Seeking a Medical Office Manager for BCHP's Pediatric Office in Greenwich, CT. The salary of this position will be approx. $65,000-$70,000 annual **Duties and Responsibilities** **Organizational Duties and Responsibilities** - Performs duties to support the goals and objectives of...
-
Vice President of Compliance
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
Greenwich, United States Top Credit Asset Manager Full timeTHE FIRM:My client is a top tier $15B+ credit investment firm in Greenwich, CT*Must be okay with 5 days in office*Excellent company cultureTHE ROLE:As the VP of Compliance, you will be the head of Public Funds compliance with a growth path to CCO title.• Drive regulatory compliance function for all regulated investments• Knowledge of Investment Act...
-
Compliance Associate â Electronic Trading Compliance
Found in: beBee S US - 2 weeks ago
Greenwich, Connecticut, United States Interactive Brokers Full timeAbout 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...