Interactive Brokers

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Jobs at this company:

🔥 Compliance Analyst

Posted about 2 months ago

📍 IL, NY, CA, CT, DC, FL, MA, NC, TX, WI

🧭 Full-Time

🔍 Financial Services

🔧 Requirements

No prior experience is required, but a background in market surveillance or compliance is preferred
Bachelor's degree or equivalent
Strong analytical and writing skills and attention to detail
Must be able to work overnight and weekend hours
Ability to work independently and manage time effectively in a fully remote setting
Must reside in one of the following states: IL, NY, CA, CT, DC, FL, MA, NC, TX, WI
Must pass a background check

💡 Responsibilities

Perform data analysis as part of real-time surveillance of ForecastEx's markets
Conduct investigations, including research and writing of detailed investigative reports
Analyze various data sources to support the product development process and improve market offerings
Collaborate with cross-functional teams to ensure compliance with internal policies and external regulations
Stay informed on industry trends and regulatory updates

SQLData AnalysisData MiningAnalytical SkillsAttention to detailComplianceResearchWritingData visualizationFinancial analysis

Posted about 2 months ago

🔥 Senior Compliance Manager

Posted 3 months ago

📍 IL, NY, CA, CT, DC, FL, MA, NC, TX, WI

🧭 Full-Time

🔍 Financial Services

🔧 Requirements

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.
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.

💡 Responsibilities

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.

LeadershipCommunication SkillsAnalytical SkillsComplianceMarket ResearchRisk ManagementTeam managementStakeholder managementFinancial analysis

Posted 3 months ago