Full-Time
Compliance Associate
Electronic Trading Compliance
Posted on 4/12/2024
Comprehensive trading platform with global products
Mid
Greenwich, CT, USA
- 2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas.
- Appropriately registered compliance officer (i.e., Series 7 and/or Series 3 registration) or member in good standing of the bar of any US state or the District of Columbia preferred.
- Solid academic background and proven interest in financial markets
- High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
- Knowledge of equities, options, futures, fixed-income market structure, and related electronic trading systems, flows, and strategies.
- Experience with Python or other data processing and visualization tools preferred
- 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
- Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators
- Coordinating regulatory inquiries, including hands-on data analysis and drafting written responses
- Crafting detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and 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
- Reviewing surveillance reports and escalating as necessary
Interactive Brokers LLC provides its employees with a robust and technologically advanced platform, ideal for those passionate about trading and financial markets. With over 45 years of experience in trading technology, the company maintains a competitive edge in liquidity and global product offerings. This established leader in the trading industry offers a dynamic work environment focused on continuous innovation and excellence in financial services.
Company Stage
IPO
Total Funding
N/A
Headquarters
Greenwich, Connecticut
Founded
1977
6 month growth
↑ 2%1 year growth
↑ 4%2 year growth
↑ 20%Benefits
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