Head of Compliance Testing Greenwich, CT

Head of Compliance Testing

Interactive Brokers Group, Inc. is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Job Description

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 appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm or law firm. In particular, we are looking for someone with experience in designing, maintaining and managing a compliance testing program.

Responsibilities

The primary responsibilities of the Compliance Testing Officer include :

• Managing the firm's annual compliance testing program
• Coordinating the execution of testing reviews with stakeholders across various 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 actions plans with stakeholders to address findings.
• Tracking compliance testing findings from discovery to remediation.
• Other Core Compliance activities as needed.

Qualifications

Company Benefits & Perks