Home Forex Careers RIA Compliance Professional At Interactive Brokers

RIA Compliance Professional At Interactive Brokers

71
0

Application Link – RIA Compliance Professional

Job Location – Washington, D.C.

Number of openings – Unknown

Dates – 31.12.2019

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 several motivated and talented compliance professionals familiar with the compliance obligations of SEC- and state-registered investment advisors, the Investment Advisers Act of 1940 and similar state statutes.  We will consider recent college, paralegal program, and law school graduates. 

Depending upon qualifications and years of relevant professional experience, candidates may be considered for a junior or mid-level compliance professional position.  

 Responsibilities

  • 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.

About Interactive Brokers

Interactive Brokers (“IBKR”), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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.

LEAVE A REPLY

Please enter your comment!
Please enter your name here