Compliance Officer Specialist

4 days ago


Greenwich, Connecticut, United States Interactive Brokers Full time
Overview

Interactive Brokers is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. Our cutting-edge technology and client commitment have made us a leader in the industry for over four decades.

Salary and Benefits

We offer a competitive salary of $120,000 - $180,000 per year, annual performance-based bonus, and stock grant. We also provide a comprehensive benefits package, including medical, dental, and vision benefits, a company-paid medical healthcare premium, wellness screenings, health coaches, and counseling services through an Employee Assistance Program (EAP).

Job Description

We are seeking a motivated and talented compliance analyst familiar with U.S. securities and/or commodities regulations and with appropriate experience at a regulatory agency, exchange, or law firm. The Compliance Analyst will be responsible for supporting the Compliance Officer in all aspects of their role, including:

  • Developing and managing certain compliance testing programs to comply with relevant legal and regulatory requirements and industry best practices.
  • Tracking compliance testing findings from discovery to remediation.
  • Coordinating with various departments to ensure policies and procedures are reviewed and updated as needed.
Required Skills and Qualifications

The ideal candidate will have:

  • 1-3 years of experience with the SEC, FINRA, CFTC, NFA, an exchange, a law firm focusing on security or commodity regulations, or another broker-dealer or FCM.
  • A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems.
  • Experience working directly with programmers and/or familiarity with scripting or query language is preferred.


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    About the RoleWe are seeking a highly motivated and detail-oriented Financial Compliance Specialist to join our team in Greenwich, CT. As a key member of our compliance department, you will play a critical role in ensuring that our business operations are in line with relevant regulations and industry best practices.The ideal candidate will have 1-3 years of...


  • Greenwich, Connecticut, United States Ascendo Resources Full time

    At Ascendo Resources, we are seeking an experienced and proactive Chief Compliance Officer to lead and oversee the compliance function within our organization. This role is focused on ensuring adherence to regulatory requirements across fixed income trading activities and broker-dealer operations.Key Responsibilities:Design, implement, and manage a...


  • Greenwich, Connecticut, United States Gravity Staffing Inc Full time

    The Gravity Staffing Inc office is seeking a highly skilled Office Support Specialist to join their team. This individual will provide administrative support to the CFO, ensuring seamless day-to-day operations.Key Responsibilities:Maintain and manage calendars using Microsoft OutlookAnswer phone calls in a professional manner, taking messages or assisting...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    At Interactive Brokers, we are seeking a skilled Regulatory Risk Manager to join our team. As the Head of Compliance Testing, you 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.The primary responsibilities...


  • Greenwich, Connecticut, United States iCapital Full time

    At iCapital, we are looking for a highly skilled Tax Vice President to join our Fund Finance Central Services team. This role will involve managing the U.S. tax compliance function for access funds, including private equity, hedge funds, and RICs.The ideal candidate will have 7+ years of experience in tax compliance, preferably with an asset manager and/or...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Job DescriptionInteractive Brokers is seeking a highly motivated and detail-oriented Compliance Analyst - Core Compliance to join our team. As a key member of our compliance department, you will be responsible for supporting the Compliance Officer in all aspects of their job. This includes developing and managing compliance testing programs, processing Blue...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Are you a motivated and organized individual with a background in regulatory compliance? Do you have experience with systems like FINRA CAT and stock Trade Reporting Facilities?We are seeking a Compliance Expert in Regulatory Reporting to join our team at Interactive Brokers Group. As a key member of our Compliance department, you will be responsible for...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Company OverviewInteractive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company with headquarters in Greenwich, CT, USA. We have been at the forefront of innovation for over four decades, renowned for our cutting-edge technology and client-centric approach. Our affiliates provide global electronic brokerage services around the clock,...


  • Greenwich, Connecticut, United States Ladgov Corporation Full time

    We are seeking a highly organized and detail-oriented Administrative Specialist to join the Ladgov Corporation team in New York. This role plays a crucial part in the efficient operation of our office by managing the collection and assembly of cost data, processing payment application requests, and ensuring compliance with NRCS policies.Key...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Qualifications and SkillsBachelor's degree in a relevant field (BA/BS).Minimum 2+ years of brokerage experience in the financial services industry, with a specific focus on regulatory reporting compliance issues with systems such as FINRA CAT and stock trade reporting facilities.Skills: Bloomberg experience, technological orientation, excellent...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Compliance Expertise SoughtInteractive Brokers is seeking a highly skilled Risk Management Officer to lead our compliance testing program. The ideal candidate will have extensive experience in regulatory compliance, strong technical knowledge, and excellent communication skills. This role requires a high degree of independence, analytical thinking, and the...


  • Greenwich, Connecticut, United States Home Care Connectors Full time

    Job OverviewWe are seeking a highly organized and proactive Administrative Assistant to support our team at Home Care Connectors. This role is essential in ensuring smooth operations within the office, providing administrative support, and facilitating communication between departments.The ideal candidate will possess strong clerical skills, be proficient in...


  • Greenwich, Connecticut, United States Home Care Connectors Full time

    About the RoleWe are seeking an experienced Administrative Assistant to join our team at Home Care Connectors. In this role, you will provide critical support to our office operations, ensuring seamless communication and administration.Main ResponsibilitiesManage phone systems, handling incoming calls and inquiries with professionalism and courtesy.Process...


  • Greenwich, Connecticut, United States The Goodkind Group Full time

    Job Title:DME Operations SpecialistAbout The Job:We are seeking a highly organized and detail-oriented DME Operations Specialist to join our team at The Goodkind Group. As a key member of our operations team, you will be responsible for managing the day-to-day activities related to durable medical equipment (DME) inventory, ordering, and delivery.Key...

  • Protection Officer

    3 weeks ago


    Greenwich, Connecticut, United States Security Industry Specialists, Inc. Full time

    Company OverviewAt Security Industry Specialists, Inc., our commitment to innovation and process improvement sets us apart from the competition. We provide security solutions to renowned companies and brands worldwide.Salary and BenefitsWe offer a competitive salary of $20 per hour, paid time off including sick/safe time, and a dynamic work environment with...


  • Greenwich, Connecticut, United States Spire Orthopedic Partners Full time

    About the RoleThis exciting opportunity offers a chance to join a growing national partnership of orthopedic practices that provides the support, capital, and operational resources physicians need to grow thriving practices for the future.As a Clinical Nursing Specialist at Spire Orthopedic Partners, you will play a vital role in delivering exceptional...


  • Greenwich, Connecticut, United States Town of Greenwich, CT Full time

    OverviewThe Town of Greenwich is seeking an experienced Administrative Operations Supervisor to join our team. This is an exciting opportunity for a skilled professional to make a meaningful contribution to our organization.Key ResponsibilitiesDeveloping and producing various reports for senior management.Maintaining accurate and up-to-date records in...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Job OverviewWe are seeking a highly skilled Senior Full Stack Developer to join our dynamic Compliance Technology group at Interactive Brokers Group, Inc.About the RoleThis is a hybrid position with three days in the office and two days remote. You will be part of a close-knit team that provides automated solutions for global and legal compliance...


  • Greenwich, Connecticut, United States Vaco Full time

    **Job Description:**We are seeking a skilled and experienced Executive Assistant to provide high-level administrative support to our senior leadership team. The successful candidate will have excellent organizational and communication skills, with the ability to prioritize and handle multiple tasks in a fast-paced environment.**Key Responsibilities:**-...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    About the RoleAs a Tax Director, you will be responsible for leading our Customer Tax team in ensuring compliance with US federal, state, and non-US requirements related to client tax reporting, withholding tax, and tax documentation. This includes periodic and year-end IRS Forms 1099 and 1042 in the US and applicable forms in foreign countries where...