Head of Regulatory Compliance

Interactive Brokers

Luxembourg, Luxembourg

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Responsibilities

Support the Chief Compliance Officer and act as reference on key regulatory areas

Contribute to the definition and production of the relevant management information in relation to Compliance Monitoring & Testing

Responsible for outsourcing oversight of compliance tasks

Contribute to Exchange Membership Applications, questionnaires, updates

Implement and analyse regulatory changes, update policies as needed to reflect changes in applicable laws

Support design of the Compliance Monitoring Plan and be responsible for execution of the annual program for Luxembourg, including execution of thematic reviews and permanent controls covering various themes and requirements (conflicts of interest, complaints handling,, )

Work with IB’s Group to calibrate and implement procedures

Maintain and develop reporting on all compliance risk issues

Help craft written instructions for programmers and technology staff to comply with applicable compliance guidelines and rules

Draft and implement firm policies and written supervisory procedures

Develop and implement remedial action plans in response to internal and external audit findings

identify new EU and Luxembourg applicable laws, regulations and other regulatory texts ( the regulations ) impacting IB

Keep up to date with changes in market conduct regulations and other relevant areas of law and regulations

Liaising with the CSSF and other carrying out other relevant regulatory filings

Contribute to the training plan relating to the Compliance topics

Qualification & Skills

At least 5 years' experience in compliance, preferably at a large broker or other financial institution with a European customer base or an EU regulator

Solid knowledge of EU market conduct rules and market regulations

High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems

Outstanding oral and written communication skills

Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment

Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision

Strong background in compliance preferred

Company Overview

Interactive Brokers ("IBKR"), 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.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

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.

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