Senior Compliance Analyst
Posted on Jan 30, 2019 by Interactive Brokers
Interactive Brokers LLC is looking for a Senior Compliance Analyst, to fill a position which requires familiarity with SEC, FINRA, CFTC and NFA rules and regulations and appropriate experience at a regulatory agency, exchange, broker-dealer or FCM.
Interactive Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures commission merchant, as well as a member of FINRA and the NFA. Our legal and compliance department is growing and we are looking for high quality talent.
- Review and principal approval of advertisements, marketing materials and webinars written by IB staff and materials posted by third-party service providers on Interactive's Investors' Marketplace.
- Handling regulatory inquiries from the SEC, FINRA, CFTC, and NFA concerning securities, commodities and derivatives trading and compliance issues.
- Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants.
- Meeting with and responding to the FINRA and NFA regulators during audits of the firm.
- Filing of required communications for regulatory approval
- Review of daily and weekly surveillance reports.
- Drafting and implementing firm policies and written supervisory procedures.
- Developing and implementing remedial action plans in response to internal and external audit findings.
- 5 years' experience with the SEC, FINRA, CFTC, NFA, an exchange or another broker-dealer or FCM.
- Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 and Series 4 registration).
- Solid academic background with strong quantitative/analytical skills.
- Experience with FINRA and NFA rules concerning broker-dealer and FCM communications with the public, including the requirements for filing communications for regulatory approval would be strongly preferred.
- Prior experience in highly automated environment and/or high degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory issues.
- Outstanding oral and written communication skills.
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
- Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.
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.
Senior Compliance Analyst