Senior Regulatory Compliance Officer
5 days ago
Overview
">Interactive Brokers Group, Inc. is a global financial services company that has been at the forefront of innovation for over four decades. We provide electronic brokerage services around the clock to clients in over 200 countries and territories.
About the Role
">We are seeking an experienced Senior Regulatory Compliance Officer to join our team. This role will be responsible for managing our annual compliance testing program, coordinating with stakeholders across various departments, and ensuring reviews are conducted in accordance with firm procedures.
Key Responsibilities
">The primary responsibilities of this role include:
- Managing the firm's annual compliance testing program, including designing, maintaining, and managing a compliance testing program;
- Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures;
- Assisting 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;
- Executing 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;
- Evaluating the effectiveness of our compliance testing program and identifying areas for improvement;
- Maintaining accurate records of compliance testing results and reporting them to management and other stakeholders.
Requirements
">To be successful in this role, you will need:
- 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;
- A 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.
Benefits
">As a valued member of our team, you can expect a competitive salary of $120,000 - $180,000 per year, depending on experience, plus a range of benefits, including:
- A comprehensive health insurance plan, including medical, dental, and vision benefits;
- A generous 401(k) plan with a competitive company match;
- Flexible paid time off and a generous parental leave policy;
- A 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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