Compliance Officer

2 days ago

Greenwich, Connecticut, United States Interactive Brokers Full time
Job Description

Interactive Brokers LLC is seeking a seasoned professional to lead our Compliance Testing program. As a key member of our regulatory team, you will be responsible for ensuring our firm's compliance with U.S. securities and commodities regulations.

Key Responsibilities:
  • Compliance Testing Program Management: Oversee the development, implementation, and maintenance of our annual compliance testing program.
  • Stakeholder Coordination: Collaborate with various departments to execute testing reviews and ensure compliance with firm procedures.
  • Compliance Testing Program Development: Assist in designing and maintaining testing procedures, methodologies, risk assessments, and frequency schedules to meet regulatory requirements and industry best practices.
  • Testing Execution: Execute the firm's compliance testing program, including drafting specifications for testing queries, scripts, and enhanced controls.
  • Reporting and Remediation: Report testing findings to management and develop action plans with stakeholders to address findings.
  • Compliance Testing Tracking: Monitor compliance testing findings from discovery to remediation.
Qualifications:
  • Regulatory Experience: 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.
  • Compliance Testing Experience: Experience in a compliance testing or audit role is strongly preferred.
  • Technical Skills: High degree of comfort and fluency with computers and technology.
  • Communication Skills: Outstanding oral and written communication skills.
  • Teamwork and Adaptability: Ability to work both independently and to multi-task with minimal supervision.
  • Professional Certifications: Registrations (i.e., SIE, Series 7, 24, and/or Series 3 registration) if no registrations, consider a member in good standing of the bar of any U.S. state or the District of Columbia.
  • Preferred Tools: Experience with Atlassian Confluence/JIRA preferred.
Company Benefits:
  • Competitive Compensation: Competitive salary, annual performance-based bonus, and stock grant.
  • Retirement Plan: Retirement plan 401(k) with a competitive company match.
  • Health and Wellness Benefits: Excellent health and wellness benefits, including medical, dental, and vision benefits. Company-paid medical healthcare premium.
  • Wellness Programs: Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP).
  • Time Off and Parental Leave: Paid time off and a generous parental leave policy.
  • Perks and Amenities: Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack.
  • Corporate Events: Corporate events, including team outings, dinners, volunteer activities, and company sports teams.
  • Education Reimbursement: Education reimbursement and learning opportunities.
  • Modern Offices: Modern offices with multi-monitor setups.

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