Compliance Analyst - Public Communications

Profile

Interactive Brokers is looking for a motivated and talented compliance
analyst who has experience with broker/dealer public communications, including marketing, advertising, and public appearances.
Responsibilities:
Supporting the Public Communications Compliance group
Reviewing, approving, and archiving content to comply with firm policies and regulatory requirements. Content includes:

IBKR social media postings;
Online Banner Ads;
IBKR educational presentations;
Third-party content provided to IBKR for re-publication;
Third-party Webinars presented by IBKR;
Third-party requests to post a description of their services to IBKR’s website; and
On-going due diligence of third-party posting sites for content/language appropriateness.
Partnering with and providing guidance to Marketing, Sales, and other business departments.
Filing public communications with regulators, as applicable.
Responding to regulatory requests pertaining to public communications.
Maintaining policies and procedures applicable to public communications.
Qualifications:
1 - 5 years of related experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, broker-dealer or FCM
Basic knowledge of rules governing advertising in securities or commodities industry
Experience with conducting marketing material reviews
Industry licenses preferred (Series 7 and Series 24)
Excellent academic background (bachelor’s degree required)
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 both independently as well as in a small-team environment, and to multi-task with minimal supervision
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
Corporate events including team outings, dinners, volunteer activities and company sports teams
Education reimbursement and learning opportunities
Modern offices with sit/stand desks and multi-monitor setups
Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., 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, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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Company info

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