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Job Description and Responsibilities Interactive Brokers is looking for a motivated and talented compliance officer who is experienced in reviewing broker/dealer public communications, including marketing, advertising, and public appearances.
The Compliance Officer will be responsible for:
Collaborating with business personnel and conducting reviews of:
IBKR social media postings
Google Ad Word Text
Print and Direct Mail
Online Banner Ads
IBKR educational presentations
Third-party content provided to IBKR for re-publication
Webinars presented by IBKR
Third-party requests to post a description of their services to IBKR's website
Filing public communications with regulators, as applicable.
Verifying that public communications are appropriately archived and retained.
Responding to regulatory requests pertaining to public communications.
Maintaining policies and procedures applicable to public communications.
3 - 5 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, broker-dealer or FCM.
Appropriate industry registrations (i.e., a Series 7 and Series 24 registration)
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 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
Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools. Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia. IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world. For more information, please visit www.ibkr.com/info
Internal Number: 6126640
About Interactive Brokers
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