Compliance Officer Specialist
4 days ago
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 BenefitsWe 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 DescriptionWe 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.
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.
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