Head of Compliance Testing

Interactive Brokers Group, Inc. is a global financial services company with offices in more than 15 countries. We provide electronic brokerage services around the clock to clients in over 200 countries and territories, serving individual investors and institutions with a focus on technology and client commitment.

Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations and has relevant experience at a broker/dealer, regulatory agency, exchange, accounting firm or law firm. The role involves designing, maintaining and managing a compliance testing program.

Responsibilities

• Managing the firm’s annual compliance testing program

• Coordinating the execution of testing reviews with stakeholders across departments and ensuring reviews are conducted in accordance with firm procedures

• Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices

• Execute the firm’s compliance testing program

• Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff

• Reporting compliance testing findings to management and defining management action plans with stakeholders to address findings

• Tracking compliance testing findings from discovery to remediation

• Other core compliance activities as needed

Qualifications

• At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on securities or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred

• Experience testing regulatory requirements related to markets and trading across products such as stocks, options, bonds and futures

• High level of comfort and fluency with computers and technology

• Outstanding oral and written communication skills

• Ability to work independently and manage multiple tasks with minimal supervision

• Registrations (SIE, Series 7, 24 and/or Series
3) or, if unregistered, in good standing of the bar of any U.S. state or the District of Columbia

• Experience with Atlassian Confluence/JIRA preferred

Company Benefits & Perks

• Competitive salary, annual performance-based bonus and stock grant

• Retirement plan 401(k) with a competitive company match

• Excellent health and wellness benefits, including medical, dental and vision; company-paid medical premium

• Wellness screenings and assessments, health coaching and counseling through an Employee Assistance Program (EAP)

• Paid time off and a generous parental leave policy

• Daily company lunch allowance and a fully stocked kitchen with healthy options

• Corporate events, team outings, volunteer activities and company sports teams

• Education reimbursement and learning opportunities

• Modern offices with multi-monitor setups

Equal Employment Opportunity

Interactive Brokers is an equal opportunity employer. We do not discriminate on the basis of any protected status. This posting may contain voluntary self-identification sections related to government reporting requirements. Participation is voluntary and information provided is confidential.

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