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 Sales teams in the firm's Chicago, Illinois office.
Providing the firm's New Accounts teams with day-to-day legal advice on application, AML and sales-related questions, and escalate significant issues or questions to senior Legal personnel or firm management;
Addressing specific business arrangements or client issues with potential clients;
Assisting the New Accounts team with Know-Your-Customer questions;
Interacting with clients or their counsel regarding the firm's account opening requirements and other account-related questions;
Helping revise policies and procedures for the review and opening of new accounts in light of new regulatory guidance;
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 applicable regulations.
2-6 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer.
Solid knowledge of domestic regulations regarding customer onboarding and diligence.
Member in good standing of the bar of any U.S. state or the District of Columbia.
Solid academic background.
Comfort 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. Company Overview
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field. 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. Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia. IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world. For more information, please visit www.ibkr.com/info
Internal Number: 5945134
About Interactive Brokers
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