Facebook pixel

Compliance Officer
Electronic Trading
Confirmed live in the last 24 hours
Greenwich, CT, USA
Experience Level
Desired Skills
Applicant Tracking Software (ATS)
  • 6-12 years experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer
  • Industry registrations or member in good standing of the bar of any US state or the District of Columbia preferred
  • Solid academic background
  • A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulation
  • 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
  • Working with firm management and programming staff to ensure the firm complies 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
Interactive Brokers

1,001-5,000 employees

Multinational brokerage firm
Company Overview
IBKR is on a mission to transform how millions of people trade around the globe. The company operates the largest electronic trading platform in the US by number of daily active users.
  • Competitive Pay with discretionary bonus packages which include company stock grants
  • Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage
  • Daily Lunch Allowance
  • 401K Retirement Savings Plan (generous company match)
  • Wellness Incentives
  • Flexible Spending Accounts
  • Paid Personal Time and Sick Leave