Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Nasdaq: IBKR), is a direct access electronic broker serving professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients can access over 150 market centers worldwide from a single integrated platform. For four-plus decades, we have focused on using advanced technology and automation to equip our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products at low or no cost to help position them to achieve superior returns.

Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team. Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899

Interactive Brokers seeks a motivated and talented compliance officer familiar with electronic trading processes and regulations. This individual will be the firm’s lead compliance officer in key areas, including the brokerage system, order routing, market access controls, best execution, and Reg ATS.

Responsibilities:

• Working with firm management and programming staff to ensure the firm  is in compliance with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others
• For each of these topics, the Compliance Officer will be responsible for the following: 
• Crafting detailed written instructions for programmers and technical 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
• Drafting regulatory responses for and interacting with SEC, FINRA, and other regulators

Qualifications

• 6-12 years’ compliance or regulatory experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer
• High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulation
• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
• Outstanding oral and written communication skills
• Industry registrations or member in good standing of the bar of any U.S. state or the District of Columbia preferred
• Solid academic background
• Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision

Company Benefits & Perks

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and welfare benefits, including medical, dental, and vision benefits
• Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
• Paid time off and a generous parental leave policy
• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
• Corporate events including team outings, dinners, volunteer activities and company sports teams
• Education reimbursement and learning opportunities
• Modern offices with multi-monitor setups