RIA Compliance Professional

  • Competitive
  • Greenwich, CT, USA
  • Permanent, Full time
  • Interactive Brokers
  • 23 Aug 17

RIA Compliance Professional

Overview :

Interactive Brokers 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 100 market centers in 25 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 657,000 trades per day (First Quarter 2017 results). At Interactive Brokers, you will be 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.

We are looking to expand our Greenwich Compliance team by adding a motivated and talented compliance staff member familiar with the compliance obligations of SEC- and state-registered investment advisors, the Investment Advisers Act of 1940 and similar state statutes.

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.


Qualifications :

  • 2-7 of professional experience.
  • Ideal candidate should possess at least two years of relevant experience related to investment advisor registration and/or compliance issues that affect advisors at a regulator, industry association, compliance firm, an investment advisory firm, or another broker-dealer or FCM.
  • 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 develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
  • Ability to proactively engage a diverse group of clients.
  • Ability to work in a small-team environment and independently and to multi-task with minimal supervision.