Compliance Analyst – Account Referrer Program

  • Competitive
  • Greenwich, CT, USA
  • Permanent, Full time
  • Interactive Brokers
  • 01 May 19

Compliance Analyst – Account Referrer Program

Job Description and Responsibilities

Interactive Brokers is looking for a motivated and talented compliance analyst to lead the Firm's referral program surveillance efforts.

Responsibilities:

  • The Compliance Analyst will be responsible for
    • Conducting surveillance and due diligence of third parties who refer clients to Interactive through the Firm's Referrer Program.
    • Drafting and implementing firm policies, controls and written supervisory procedures designed to ensure the firm's program is in line with regulatory requirements.
    • Helping to craft detailed written instructions for programmers and technology staff to enhance internal controls.
    • Coordinating responses to regulatory inquiries pertaining to the Referrer Program from the US federal, state and foreign regulators.


Qualifications

  • 3-5 years' experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM.
  • Appropriately registered compliance officer (i.e., at least a Series 7 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred.
  • Specific experience with broker/dealer referrer programs preferred.
  • Solid academic background.
  • High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
  • 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

Compensation:
  • Competitive compensation package commensurate with experience (including bonus and stock grant possibilities)
  • 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts


Company Overview

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (IEX: IBKR) is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 31 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing over 850,000 trades per day.[i] Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

[i] Figures as of January 1, 2019. Information on the company can be found at www.interactivebrokers.com

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
The IBKR Companies are equal employment and affirmative action employers and looking for diversity in qualified candidates for employment.