Senior Compliance Officer, Interactive Brokers
Advisory, 12 Month FTC
3 days a week in office (Fenchurch St, London)
Online broker
Be an early applicant
Online broker
1001+ employees
Be an early applicant
3 days a week in office (Fenchurch St, London)
1001+ employees
Company mission
To create technology to provide liquidity on better terms.
Role
Who you are
- Bachelor's degree or equivalent qualification
- Minimum 5 to 7 years' experience in Compliance within a retail-focused financial services company, working at the FCA or PRA consultancy level
- Experience in working in digital online retail broker environment
- Strong technical knowledge of UK and European financial services regulation, particularly as it applies to retail investments; deep understanding of FCA expectations, specifically conduct risk and consumer protection
- Comprehensive knowledge of the regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD, DISP and other relevant FCA sourcebooks
- Excellent at influencing and building relationships across all organisational levels
- Commercial and pragmatic approach to problem-solving and decision-making
- Outstanding analytical and organisational skills with ability to simplify complex regulations for diverse audiences
- High technological competency with functional understanding of how technology supports business and regulatory solutions (strong Excel skills essential)
- Ability to work independently, exercise sound judgment, and manage multiple priorities with strong attention to detail in a fast-paced environment
- Resilient under pressure, able to formulate and articulate solutions clearly and defend recommendations
- Versatile and adaptable as team needs and business demands evolve
What the job involves
- Interactive Brokers (U.K. ) Ltd, based in London and part of IBKR's global online financial brokerage services, is seeking an experienced compliance professional to join our dynamic team in a 12-month fixed-term contract to provide maternity cover
- This is a pivotal advisory-focused role where you'll act as a trusted partner to the business, delivering expert regulatory guidance across our operations
- You will be responsible for proactive regulatory advice to the organisation and supporting our Compliance programme (working alongside Compliance Monitoring Manager)
- You'll identify and manage key areas of regulatory risk and provide guidance to the business on regulatory matters, responding both proactively and to emerging incidents
- As part of our dedicated General Compliance team within the compliance department, you'll handle multiple aspects of consumer protection compliance, and regulatory change initiatives
- Your responsibilities will not include anti-money laundering (AML) related tasks
- You will collaborate with general compliance colleagues across the Pan-European region
- Reporting line depends on the candidate’s seniority
- We currently operate a hybrid working model at IBKR, allowing you to work from our impressive central London office 3 days per week, where we provide complimentary lunch daily from a variety of vendors
- Support the delivery of regulatory compliance advice across the organisation and support European Compliance programme
- Support Head of Compliance in for the compliance advisory, partnering with senior management and cross-functional teams including product, legal, and operations to deliver practical and robust guidance on regulatory matters
- Manage the delivery of compliance-owned policies, processes, and controls, proactively identifying and implementing enhancements in conduct space including Product Governance, PRIIPs, Client Appropriateness, Financial Promotions, Consumer Duty, and other conduct matters under MiFID II/FCA Handbook
- Contribute to the production and delivery of internal and governance reports
- Monitor regulatory developments and assess their impact on the business, coordinating implementation of necessary changes, including conducting legislative gap analysis and internal compliance reviews, ensuring documentation remains current and effective
- Support the general compliance team as business needs evolve, which may include approving marketing materials, and other core compliance tasks
- 9am – 6pm, Monday – Friday
Salary benchmarks
Our take
Interactive Brokers is an automated electronic broker, empowering users to analyse global stock markets, manage portfolios, and explore diverse investment assets. With a history spanning over 45 years, the company has thrived by adapting to evolving digital trading trends. Its comprehensive suite of services includes analytical tools, asset marketplaces, and seamless third-party integration, enhancing portfolio management capabilities.
Boasting over $11.6 billion in equity capital, Interactive Brokers remains at the forefront of industry innovation. The company has embraced the rising popularity of cryptocurrency, offering customers access to crypto trading through a partnership with Paxos Trust Company. This proactive approach reaffirms Interactive Brokers' position as a forward-thinking player in the ever-changing trading landscape.
Recently, Interactive Brokers expanded its trading hours for U.S. Treasury bonds to 22 hours a day, allowing global clients to trade during their local hours and quickly respond to market news. This extension reflects the company's commitment to flexibility and comprehensive service, meeting the diverse needs of clients in over 200 countries and territories.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
8% employee growth in 12 months
Company
Company benefits
- Competitive Pay with discretionary bonus packages which may include company stock grants
- Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage
- 401k Retirement Savings Plan (generous company match)
- Daily Lunch Allowance
- Wellness Incentives
- Flexible Spending Accounts
- Paid Personal Time and Sick Leave
Company HQ
Greenwich, CT
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