Senior Compliance Manager, Interactive Brokers
Plus an annual performance-based bonus and stock grant
More information about location
Online broker
Open for applications
Online broker
1001+ employees
Open for applications
Plus an annual performance-based bonus and stock grant
More information about location
1001+ employees
Company mission
To create technology to provide liquidity on better terms.
Role
Who you are
- The ideal candidate will combine deep regulatory expertise with a proactive approach to navigating the evolving derivatives market landscape
- Bachelor’s degree in Law, Finance, Business, or a related field; advanced degree preferred
- At least 7–10 years of experience in regulatory compliance, ideally in the derivatives or financial services industry
- Deep understanding of CFTC regulations and derivatives market structure. Experience with event contracts or prediction markets is a plus
- Proven leadership experience with the ability to manage teams and collaborate with diverse stakeholders
- Strong analytical and problem-solving skills, with attention to detail and a proactive approach to compliance challenges
- Excellent communication skills, with the ability to clearly articulate complex regulatory concepts to diverse audiences
What the job involves
- We seek a highly experienced Risk Officer to lead our compliance and regulatory initiatives
- This leadership role involves ensuring adherence to CFTC regulations, managing compliance risks, spearheading interactions with CFTC regulators and fostering a culture of regulatory excellence
- Serve as the primary point of contact for regulatory matters, including interactions with the CFTC and other regulatory bodies
- Develop, implement, and maintain a comprehensive compliance program to ensure adherence to all applicable laws and regulations
- Oversee regulatory filings, audits, and examinations, ensuring timely and accurate submissions
- Establish and enforce internal policies and procedures to mitigate compliance risks
- Stay updated on regulatory changes and industry best practices, advising leadership on necessary adjustments
- Identify, assess, and manage regulatory risks associated with existing and new products
- Ensure the company fully complies with all CFTC regulations and all other applicable laws and regulations across all operations and activities
- Oversee the electronic surveillance system to monitor trading activity and detect potential rule violations
- Conduct investigations into any flagged or suspicious activity, ensuring adherence to exchange and CFTC rules, and take enforcement actions as necessary
- Lead and mentor a team of compliance professionals, fostering a high-performing and collaborative work environment
- Partner with cross-functional teams, including product development, legal, operations, and technology, to ensure compliance is integrated across all business areas
- Provide regular updates to executive leadership and the board on compliance activities, risks, and strategies
- Represent the company in industry forums and regulatory discussions
Our take
Interactive Brokers is an automated electronic broker, empowers 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
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits and 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 snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups
Company HQ
Greenwich, CT
Leadership
Thomas Peterffy
(Chairman)Former computer programmer and architectural draftsman. They played a role in developing the first electronic trading platform for securities at the American Stock Exchange.
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