Head of Compliance Testing

2 weeks ago

Greenwich, Connecticut, United States Interactive Brokers Full time
Job Title: Head of Compliance Testing

Interactive Brokers LLC is seeking a highly skilled and experienced Head of Compliance Testing to join our team. As a key member of our compliance department, you will be responsible for designing, maintaining, and managing our compliance testing program.

Key Responsibilities:
  • Manage the firm's annual compliance testing program, ensuring that all reviews are conducted in accordance with firm procedures.
  • Coordinate with stakeholders across various departments to execute testing reviews and ensure compliance with relevant legal and regulatory requirements.
  • Develop and maintain testing procedures, methodologies, risk assessments, and frequency schedules to ensure compliance with industry best practices.
  • Execute the firm's compliance testing program, including drafting specifications for testing queries, scripts, and enhanced controls.
  • Report compliance testing findings to management and define management action plans with stakeholders to address findings.
  • Track compliance testing findings from discovery to remediation.
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.
  • 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.
Benefits:
  • 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.
  • 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.

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