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🎁 Interactive Brokers | Compliance Officer – Electronic Trading
- Link: Compliance Officer – Electronic Trading from Interactive Brokers
- Dates: All year 2023
- Job location: Greenwich, USA.
- Job description: Work with firm management and programming staff to ensure the firm complies with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others. Crafting detailed written instructions for programmers and technical staff to enhance internal controls in response to new regulations or the launching of new business lines. Draft and implement firm policies, controls and written supervisory procedures. Develop and implement remedial action plans in response to internal and external audit findings. Draft regulatory responses for and interacting with SEC, FINRA, and other regulators.
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