Job Description & Requirements IB Group's affiliate, Greenwich Advisor Compliance Services ("Greenwich Compliance"), offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. IB Group and its Greenwich Compliance subsidiary are growing rapidly.
We are looking to expand our Greenwich Compliance team by adding a motivated, talented and experienced compliance professional familiar with the compliance obligations of SEC- and state-registered investment advisors under the Investment Advisers Act of 1940 and similar state statutes. We will consider recent law school graduates with knowledge and interest about advisors and their obligations, or college graduates with experience in advisor compliance.
Responding to registration and compliance questions from current and potential investment advisors.
Working with advisors to prepare their SEC and state registration filings, including Form ADV filings.
Working with advisors to draft their compliance manuals, codes of ethics, and other written policies and procedures.
Interacting with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get investment advisors registered.
Drafting various written materials for use by advisors to help them meet their compliance obligations and/or respond to regulatory inquiries.
Drafting web content and periodic releases on compliance issues of interest to investment advisors.
Drafting research memos and/or white papers on various regulatory topics.
Researching registration and compliance questions from current and potential investment advisors and the business.
Bachelor's degree coupled with experience working on investment management compliance issues.
3-5 years experience in a business or office environment.
Solid academic background.
Strong attention to detail.
Outstanding oral and written communication skills.
Ideal candidate should possess relevant experience related to investment advisor registration and/or advisor compliance issues at a regulator, industry association, compliance firm, investment advisory firm, or another broker-dealer.
High degree of comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
Ability to proactively engage a diverse group of clients.
Ability to work in a small-team environment and independently and to multi-task with minimal supervision.
Company Overview Interactive Brokers a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: 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. Click HERE to view a short video with a few words from current Interactive Brokers employees. (if hyperlink is deactivated please copy https://www.interactivebrokers.com/en/index.php?f=31899 to your browser) For more information, please visit www.ibkr.com/info