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Compliance Officer - Cyber Security, Books and Records

Posted on Jan 24, 2019 by Interactive Brokers

Greenwich, CT 06830
19 Nov 2018
Annual Salary
Job Description and Responsibilities

Interactive Brokers is looking for a motivated and talented compliance officer who will be responsible for the firm's Books and Records, Cyber Security, Business Continuity and Data Integrity compliance.

  • Working with firm management and programming staff to ensure the firm is in compliance with applicable books and records rules, including inventory, archive retention and deletion policies.
  • Ensuring the firm has established business continuity plans and updating those plans as necessary.
  • Advising the firm's technology management and staff with respect to applicable Cyber Security rules.
  • Overseeing and testing the integrity of the data used in the firm's systems.
  • For each of these topics, the Compliance Officer will be responsible for:
    • Crafting detailed written instructions for programmers and technology staff to enhance internal controls in response to new regulations or 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
    • Coordinating regulatory inquiries from the SEC, FINRA, CFTC, CME, NFA, state and foreign regulators.
    • Meeting with and responding to the SEC, FINRA, CFTC, CME and other regulators.


  • 6-12 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM
  • Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
  • 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

Company Overview

Interactive Brokers Group, Inc. (IEX: IBKR); is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 31 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing 797,000 trades per day.¹ 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.

¹Figures as of September 30, 2018.

Compliance Officer - Cyber Security, Books and Records

Reference: 628476847

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