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Associate General Counsel -Regulatory and Enforcement

Posted on Jan 24, 2019 by Interactive Brokers

Washington, WA 20001
15 Oct 2018
Annual Salary
Job Description and Responsibilities

Interactive Brokers LLC is looking for a motivated and talented attorney with experience in securities and broker-dealer issues to become a regulatory and enforcement-focused Associate General Counsel in the firm's Washington, D.C. office.

Assisting the firm's General Counsel, Deputy General Counsel and Chief Regulatory Counsel in handling various regulatory and enforcement- related matters, including:
  • Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
  • Evaluating the legal and regulatory impact of new proposed business lines or offerings.
  • 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


  • 5-10 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer
  • 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

[i] Figures as of January 1, 2018. Information on the company can be found at

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.

Associate General Counsel -Regulatory and Enforcement

Reference: 627795301