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Deputy General Counsel - Regulatory, Enforcement and Litigation

Posted on Jan 31, 2019 by Interactive Brokers

Washington, WA 20001
Legal
29 Jan 2019
Annual Salary
Full-Time
Job Description and Responsibilities

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

The Deputy General Counsel will join the senior management team in Interactive Brokers' Legal and Compliance Department and will work with the Firm's General Counsel and the Firm's Chief Regulatory Officer in handling various regulatory, enforcement and litigation-related matters, including:

  • Helping the Firm continue to build a responsive, full-service Legal Department in response to rapid growth in the Firm's existing business and new business lines.
  • 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 and designing necessary changes to the Firm's systems and procedures to address new rules and regulations.
  • Crafting written functional specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
  • Drafting and reviewing agreements, disclosures, account documentation and website materials.
  • Working with the firm's Chief Litigation Counsel on staffing and strategy for responding to litigation and significant litigation matters.

The position has a high potential for career advancement at the company, but success will require great attention to detail and learning and mastery of the Firm's business lines and technology. This is a hands-on role involving both management and significant personal handling of project work. Interactive Brokers has a solid and experienced legal team and the majority of legal and regulatory work is performed in-house.

Qualifications

  • 15+ years post-J.D. experience at a law firm, broker-dealer, financial services regulatory agency or securities exchange.
  • Significant experience in broker-dealer regulation and enforcement.
  • Member in good standing of the bar of any U.S. state or the District of Columbia.
  • Solid academic background.
  • High degree of comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
  • Outstanding oral and written communication skills.


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.

Deputy General Counsel - Regulatory, Enforcement and Litigation

Reference: 635210105