Compliance Associate – Electronic Trading Compliance

1 Month ago • 2-5 Years • $80,000 PA - $130,000 PA

Job Summary

Job Description

Interactive Brokers is seeking a Compliance Officer to join its Compliance group, focusing on electronic trading compliance. The role involves ensuring adherence to trading and market regulations such as Market Access, Order Routing, and Best Execution. Responsibilities include interacting with regulators (SEC, FINRA, CFTC, NFA), coordinating regulatory inquiries, analyzing data, and drafting responses. The officer will also develop internal controls, write firm policies, implement supervisory procedures, and review surveillance reports. The position requires a strong understanding of financial markets, electronic trading systems, and technology application to regulatory problems.
Must have:
  • 2-5 years experience in compliance or related field
  • Solid academic background
  • Tech-savvy with understanding of tech in business
  • Knowledge of market structure and electronic trading
  • Excellent communication skills
  • Ability to develop regulatory compliant solutions
  • Work independently and in a team
  • Analytical and problem-solving skills
  • Organizational and time management skills
Good to have:
  • Experience with Python or data processing tools
  • Series 7 and/or Series 3 registration
  • Member of a US state bar
Perks:
  • Competitive salary, annual bonus, and stock grant
  • 401(k) with company match
  • Excellent health, dental, and vision benefits
  • Company-paid medical premium
  • Wellness programs and Employee Assistance Program (EAP)
  • Paid time off and parental leave
  • Daily lunch allowance and stocked kitchen
  • Corporate events
  • Education reimbursement
  • Modern offices with multi-monitor setups

Job Details

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

This is a hybrid role (3 days in the office/2 days remote).

Interactive Brokers seeks a motivated and talented compliance officer to join its Compliance group. The candidate will report to the Head of Electronic Trading Compliance and focus on compliance with trading and market regulations, including Market Access, Order Routing, and Best Execution. 

 Responsibilities: 

  • Work with colleagues in Compliance, Legal, Business, Development, and other teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including, but not limited to, Market Access, reg NMS, reg ATS, rule 606, Exchange Rules, Best Execution, Smart Routing, Algorithmic Trading, Order Routing and Payment for Order Flow Disclosures.
  • For each of these subject areas, the Compliance Officer will be responsible for:
  • Interacting directly with regulators on trading and markets issues, including the SEC, FINRA, CFTC, 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 launch 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

Qualifications: 

  • 2-5 years of 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.
  • 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
  • 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.
  • 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 and in a small team environment and to multitask with minimal supervision

To be successful in this position, you will have the following:

  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills.
  • Outstanding organizational and time management skills.

This role's anticipated base salary range is  $80,000 to $130,000 annually based on skills and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award and a wide range of benefits, including health care, tuition reimbursement and much more.

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits, and a company-paid medical healthcare premium.
  • 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 snacks
  • Corporate events, including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities
  • Modern offices with multi-monitor setups

 

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About The Company

Interactive Brokers Group, Inc. (NASDAQ: "IBKR") is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisers, and introducing brokers. For over 40 years, Interactive Brokers has been the pioneer of the electronic trading revolution. We rapidly scaled from a small U.S. options market-maker into a sizable global trading firm by leveraging the power of technology and automation. We are committed to delivering value through technological innovation and providing our clients with unprecedented access to global markets at the lowest cost.

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