Compliance Monitoring Manager
Confirmed live in the last 24 hours
Interactive Brokers

1,001-5,000 employees

Global online trading platform for diverse assets
Company Overview
Interactive Brokers Group, a leader in the financial services industry, has a proven track record of technical innovation, demonstrated by its 45-year history of building advanced trading technology. The company's competitive advantage lies in its ability to provide a single unified platform for global trading in multiple asset classes and currencies, backed by robust market data access 24/6. Its strong corporate culture is centered around creating technology to provide liquidity on better terms, competing on price, speed, size, and diversity of global products, which has led to its recognition as Barron's #1 Best Online Broker for six consecutive years.

Company Stage


Total Funding





Greenwich, Connecticut

Growth & Insights

6 month growth


1 year growth


2 year growth

London, UK
Experience Level
Desired Skills
Legal & Compliance
  • Bachelor's degree or equivalent
  • Prior 3+ years' experience in regulatory compliance, audit or risk function in an investment or platform-based environment, ideally within areas of General Compliance or Investment Compliance
  • Knowledge of the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD and other relevant FCA sourcebooks
  • Outstanding analytical, problem-solving, organisation and follow-up skills
  • An analytical mind and able to recognise and pinpoint the complexities of procedures and regulations but then simplify these for others
  • A pragmatic, commercial and creative approach to problem solving and decision-making
  • A team player with great people skills who can effectively collaborate with colleagues throughout the business to build strong relationships and achieve results
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions (strong Excel skills are a must)
  • Ability to work independently (exercising judgement with discretion) and manage multiple, deadline-driven priorities with strong attention to detail in a fast-paced work environment
  • Ability to work under pressure, formulate and articulate solutions and defend assumptions
  • Versatile as the needs and demands of the team evolve
  • Drive compliance oversight through the testing and monitoring programme, identify areas for enhancements of systems and controls operated by the firm, and support the implementation of required changes
  • Execute all testing and monitoring activities in a timely and thorough manner in accordance with industry standards and expectations of management, auditors, and the FCA, covering all regulatory risk overseen by general compliance, notably including Product Governance, PRIIPS, Client Appropriateness, Categorisation, Product Restrictions, Financial Promotions, Consumer Duty and other conduct related matters under MiFID II/FCA Handbook
  • Liaise with control owners to discuss and agree on any remedial actions emerging from the testing and monitoring activities and follow through to ensure agreed action plans are met in a timely and accurate manner
  • Report on outcomes and conclusions of testing and monitoring and ancillary activities, including the remediation of any gap identified
  • Effectively organise and document information arising from the execution of the monitoring and testing programme targeted at different stakeholders. Maintain records of all remediations following assurance work
  • Prepare management presentations and communication on regulatory developments and Compliance Monitoring Framework
  • Create, maintain, and implement compliance-related policies; conduct internal compliance reviews, and perform legislative and regulatory gap analysis, ensuring all artefacts are updated regularly
  • Assist the Compliance department with its advisory role in the business by conducting research, processing requests and queries
  • Manage FCA's and European product governance regulatory requirements, including regulatory compliance advise in periodic reviews of regulatory change impact
  • Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the compliance testing and monitoring plan and the business
  • Support others in the General Compliance team as required