Compliance Associate – Electronic Trading Compliance

Interactive Brokers; Greenwich (CT); Hybrid; USD 100,000 - 150,000; Full time

Job summary

Interactive Brokers, a leading global financial services company, seeks a Compliance Associate in Greenwich, CT. The role involves ensuring compliance with trading regulations, interacting with regulators, and developing policies for effective market participation. Ideal candidates will have proven experience in finance compliance and an excellent understanding of technology's role in regulatory matters.

Benefits

Competitive salary

Annual performance-based bonus

401(k) with competitive company match

Comprehensive health and wellness benefits

Paid time off and parental leave

Daily lunch allowance

Education reimbursement

Modern office environment

Qualifications

• 2-5 years experience with broker-dealer, FCM, or related compliance roles.
• High comfort with technology and understanding of regulatory issues.
• Outstanding oral and written communication skills.

Responsibilities

• Ensure compliance with trading regulations and market guidance.
• Draft and implement firm policies and supervisory procedures.
• Interact with regulators and coordinate regulatory inquiries.

Skills

Analytical skills

Problem-solving skills

Communication skills

Education

Bachelor's degree or higher

Tools

Python

Data visualization tools

Job description

Compliance Associate – Electronic Trading Compliance

Join to apply for the Compliance Associate – Electronic Trading Compliance role at Interactive Brokers

Compliance Associate – Electronic Trading Compliance

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Join to apply for the Compliance Associate – Electronic Trading Compliance role at Interactive Brokers

Company Overview

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.

Company Overview

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. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

This is Hybrid role (3 days in office /2 days remote)

Interactive Brokers seeks a motivated and talented compliance officer to join its Compliance group. The candidate will report to the Head of Electronic Trading Compliance and focus on compliance with trading and market regulations, including Market Access, Order Routing, and Best Execution.

Responsibilities

• Work with colleagues in Compliance, Legal, Business, Development, and other teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including but not limited to Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.
• For each of these subject areas, the Compliance Officer will be responsible for:
• Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators
• Coordinating regulatory inquiries, including hands-on data analysis and drafting written responses
• Crafting detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and the launching of new business lines
• Drafting and implementing firm policies, controls, and written supervisory procedures
• Developing and implementing remedial action plans in response to internal and external audit findings
• Reviewing surveillance reports and escalating as necessary
  
  

Qualifications

• 2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas.
• Solid academic background and proven interest in financial markets
• High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
• Knowledge of equities, options, futures, fixed-income market structure, and related electronic trading systems, flows, and strategies.
• Experience with Python or other data processing and visualization tools preferred
• Appropriately registered compliance officer (i.e., Series 7 and/or Series 3 registration) or member in good standing of the bar of any US state or the District of Columbia preferred.
• Outstanding oral and written communication skills
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
• Ability to work both independently as well as in a small-team environment and to multi-task with minimal supervision
  
  

To be successful in this position, you will have the following:

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.
  
  

Company Benefits & Perks

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
• 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

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

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