Head of Compliance Testing

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

Requirements

• At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM.
• Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
• High degree of comfort and fluency with computers and technology.
• Outstanding oral and written communication skills.
• Ability to work both independently and to multi-task with minimal supervision.

Benefits

• 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 benefits.
• Paid time off and a generous parental leave policy
• Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
• Corporate events, including team outings, dinners, volunteer activities and company sports teams
• Education reimbursement and learning opportunities