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For your reference, we have included the original job posting below.
Compliance Officer
Job Number:
21843259
Company Name:
Interactive Brokers
Job Location:
Greenwich, CT US
Job Category:
Accounting & Finance
Compliance Officer
Compliance Officer Department:Legal/Compliance Office: Greenwich, CT, USA Location: Greenwich, CT
Job Title:Compliance Officer – Interactive Brokers LLC Location:Greenwich, CT Description: This position will report to the Chief Compliance Officer and will be responsible for:
Monitoring trading activity from surveillance reports, reviewing employee communications, employee trading. Designing and implementing continuing education training for staff. Responding to communications including letters, phone calls, and email from regulators, attorneys, using investigative skills and knowledge to research, analyze and resolve customer issues. Drafting written instructions for programmers and technology staff to respond to new regulations or to launch new business lines. Tracking and reporting of customer complaint data including reviewing and analyzing applicable information regarding the investigation and complaint resolution. Documenting complaint trends or potential compliance issues based on database analysis and suggesting proactive solutions. Assisting with the investigation and analysis of issues relating to written supervisory and operational procedures, advertising and sales literature and other relevant data. Preparing and presenting Firm Element Continuing Education and Anti-Money Laundering training to staff members. Qualification Requirements: - Bachelor’s degree in Finance, Economics, Statistics, Business Administration or other related field or equivalent work experience - Minimum of 5 years previous employment experience with a Broker Dealer, FCM, or SRO - Track record of outstanding achievement in academics, employment, and personal endeavors - High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems. - Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment. - High proficiency with PC desktop applications and MS Office suite of products - Ability to work in an automated, hands-on environment - Securities licenses: Series 7& 24 preferred 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. Please include your compensation requirements.
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