Interactive Brokers is looking for a motivated and talented attorney with experience in securities and broker-dealer issues to provide advice to the firm's New Accounts and AML/Trade Surveillance teams in the firm's Chicago, Illinois office.
Providing the firm's New Accounts and AML/Trade Surveillance teams with day-to-day legal advice on issues as they arise, and escalate significant issues to senior Legal personnel or firm management.
Addressing specific business arrangements or client issues with potential clients.
Interacting with clients or their counsel regarding the firm's account opening requirements and other account-related questions.
Helping design appropriate policies and procedures for the review and opening of new accounts.
Designing and helping to implement enhanced due diligence procedures regarding higher risk applications and customers of the firm.
Advising the firm on the appropriateness of proposed transfers of assets from or between customer accounts.
Identifying necessary changes to the firm's systems and procedures to meet new AML and Trade Surveillance rules/regulations.
Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and similar non-US regulatory authorities.
5-10 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer. Solid knowledge of AML rules preferred. Member in good standing of the bar of any U.S. state or the District of Columbia. Solid academic background. 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 work in a small-team environment and to work independently and to multi-task with minimal supervision.
Interactive Brokers Group, Inc. (IEX: IBKR); is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 31 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing 797,000 trades per day.¹ Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
¹Figures as of September 30, 2018.
Internal Number: 5023869
About Interactive Brokers
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