Interactive Brokers LLC, a subsidiary of Interactive Brokers Group Inc., is looking for an Associate to assist the firm's General Counsel in handling various regulatory and enforcement-related matters, including but not limited to:
Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
Working with outside counsel in handling larger enforcement matters brought by the firm's regulators.
Identifying necessary changes to the firm's systems and procedures to meet new rules/regulations.
Drafting agreements, disclosures, account documentation and website materials.
Crafting written instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
6-12 years post-J.D. experience at a law firm, financial services regulatory agency, exchange, or broker-dealer.
At least five years experience in responding to government enforcement investigations.
Member in good standing of the bar of any U.S. state or the District of Columbia.
Solid academic background.
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 work in a small-team environment and to work independently and to multi-task with minimal supervision.
Interactive Brokers Group, Inc. (IEX: IBKR) is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 120 market centers in 26 countries from a single account. We are the lowest cost provider of brokerage services and the largest U.S. electronic broker based on daily average revenue trades executing 797,000 trades per day.¹ 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.
¹Figures as of June 30, 2018.
Internal Number: 4702193
About Interactive Brokers
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