🎁 Interactive Brokers | Compliance Associate – Electronic Trading Compliance



  • Link: Compliance Associate – Electronic Trading Compliance from Interactive Brokers

  • Dates: All year 2021.
  • Job location: Greenwich, USA.
  • Job description: Ensure compliance with rules and regulatory guidance related to electronic trading and markets. Interact with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators. Coordinate regulatory inquiries, including hands-on data analysis and drafting written responses. Craft detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and 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. Review surveillance reports and escalate as necessary.