Regulatory & Product - Associate General Counsel

Interactive Brokers Group; Greenwich, Northern (CT, KY); Hybrid; USD 150,000 - 210,000; Full time

Benefits offered by this job

Competitive salary and annual bonus

Stock grant awards

401(k) retirement plan with company  匹

Excellent health and wellness benefits

Wellness programs and EAP

Parental leave

Life insurance and AD&D

Flexible spending accounts

Education reimbursement and training

Care.com support

Job summary

Interactive Brokers Group seeks a regulatory attorney with commodities experience for its General Counsel office in Greenwich, CT, NYC, or Washington, DC. Hybrid role with 4 days in office and 1 day remote. You will advise on federal securities and commodities laws, draft regulatory documents, and handle inquiries from major authorities.

Minimum 5 years post-J.D. experience in broker-dealer/FCM or regulatory bodies; strong tech/comms skills; bar admission in good standing; team-oriented and

Qualifications

• At least 5 years of post-J.D. experience in law firms, financial services regulators, exchanges, or broker-dealers/FCMs.
• Experience handling regulatory and enforcement matters.
• Bar admission in good standing in any U.S. state or D.C.
• Strong academic background.
• Comfort with technology and applying it to regulatory problems.
• Excellent verbal and written communication skills.
• Ability to work in a small-team environment and independently with multi-tasking.

Responsibilities

• Assist Chief Regulatory & Product Counsel with regulatory matters.
• Evaluate legal/regulatory impact of new business lines or offerings.
• Advise Compliance and business lines on federal commodities and securities laws.
• Identify changes to systems/procedures to meet new regulations.
• Draft specifications for programmers and tech staff to respond to regulations.
• Draft agreements, disclosures, account documentation, and website materials.
• Handle inquiries from SEC, FINRA, CFTC, NFA and other authorities.

Skills

Regulatory experience

Broker-dealer advisory

Bar admission

Analytical skills

Tech fluency

Oral and written communication

Independent worker

Education

J.D. required

Job description

This is Hybrid role (4 days in office /1 day remote)

About your Team:

Interactive Brokers islooking for a motivated and talented regulatory attorney with experience in commodities issues in the futures commission merchant space, who is interested in joining the firm’s General Counsel office either in Greenwich, CT, New York City, or Washington, DC. Knowledge and experience regarding the U.S. federal securities laws is a substantial plus factor, as is strong knowledge of electronic trading systems and/or computer systems.

What will be your responsibilities within IBKR:

• Assisting the firm’s Chief Regulatory & Product Counsel in handling various regulatory matters, including:
• Evaluating the legal and regulatory impact of new proposed business lines or offerings.
• Advising the firm’s Compliance Department and various business lines on federal commodities and securities law, including federal statutes, SEC and CFTC rules, and SRO rules (e.g., FINRA, NFA, CME, etc.)
• Identifying necessary changes to the firm’s systems and procedures to meet new rules/regulations.
• Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
• Drafting agreements, disclosures, account documentation and website materials.
• Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.

What required skill’s you need:

• At least 5 years of post-J.D. experience at a law firm (with broker-dealer or FCM advisory experience), financial services regulatory agency, exchange, broker-dealer or FCM.
• Experience in handling regulatory and enforcement matters.
• Member in good standing of the bar of any U.S. state or the District of Columbia.
• Solid academic background.
• High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
• Outstanding oral and written communication skills
• Ability to work in a small-team environment and to work independently 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 awards
• 401(k) retirement plan with competitive company match
• Excellent health and wellnessbenefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
• Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
• Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
• Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
• Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
• Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
• Education reimbursement and professional development opportunities
• Legal services, telehealth access, and voluntary insurance options
• Backup child and adult care support through Care.com
• Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options