Associate General Counsel - Enforcement
Job Description & Requirements
Interactive Brokers is looking for a motivated and talented enforcement attorney with experience in commodities, securities, and broker-dealer issues who is interested in joining the firm's General Counsel office either Chicago, IL, Greenwich, CT or Washington, DC Responsibilities:
Assisting the firm's Chief Counsel - Investigations & Enforcement in handling various regulatory and enforcement-related matters, including:
- Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
- Working with outside counsel in managing 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.
- 3-5 years post-J.D. experience at a law firm, financial services regulatory agency, exchange, or broker-dealer.
- At least three 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 ("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.
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.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
(If the hyperlink is not active, copy and paste the following URL in your browser: https://www.interactivebrokers.com/en/index.php?f=31899 ) For more information, please visit www.ibkr.com/info