The Interactive Brokers Group ("IB Group") is a publicly traded company (under the ticker IBKR) that provides online brokerage services to sophisticated individual and institutional clients. We serve more than 330,000 customers trading securities, commodities and foreign exchange in 23 currencies on over 100 market centers in 24 countries around the world.
IB Group has recently formed a new company, Greenwich Advisor Compliance Services ("Greenwich Compliance"), that offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. IB Group and its Greenwich Compliance subsidiary are growing rapidly.
We are looking for a motivated and talented attorney or compliance professional familiar with the legal and compliance obligations of SEC- and state-registered investment advisors, the Investment Advisers Act of 1940 and similar state statutes.
Managing the day-to-day operations of Interactive Brokers' Group's new advisor compliance consulting company, Greenwich Compliance.
Responding to registration and compliance questions from current and potential investment advisors.
Designing and help drafting advisors' compliance procedures and policies.
Researching, interpreting and advising IB regarding compliance with laws, regulations and guidance applicable to broker-dealers and independent investment advisors with whom IB does business.
Drafting webpage content and marketing materials.
Crafting written instructions for programmers and technology staff to offer software that will help advisors trading through IB run their businesses.
Drafting web content and periodic releases on compliance issues of interest to investment advisors.
4-10 years experience advising on investment advisor compliance issues, at a law firm, compliance firm, regulator ( e. , the SEC or a state securities regulator), an investment advisory firm, an exchange or another broker-dealer or FCM.
Member in good standing of the bar of any U.S. state or the District of Columbia, or a compliance professional with experience consulting on investment advisor compliance issues.
Solid academic background.
High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
Outstanding oral and written communication skills.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.