Associate Director of Trade Surveillance

Profile

Interactive Brokers is looking to hire an Associate Director of Trade Surveillance at the Chicago Office. This is an upper-level management position with room for growth for highly motivated and exceptional performers. The Associate Director of Trade Surveillance will report to the Director of Trade Surveillance and assist with ensuring the firm complies with applicable securities/commodities laws, rules, and regulations.

Day-to-day responsibilities include:

Perform supervisory activities including assessment of staffing models, training, development, and performance assessments.

Supervise managers to ensure that analyst teams are performing at a high level consistent with the firm’s quality assurance standards.

Assist the Director of Trade Surveillance in assessing the firm’s surveillance reports to ensure that they are operating as designed and provide meaningful and efficient coverage over manipulative trading typologies.

Maintain and update as necessary the firm's trade surveillance procedures as needed to comport to regulatory requirements, test findings, and process assessments.

Advise the Director of Trade Surveillance in developing and implementing remedial action plans in response to internal and external audit findings.

Keep abreast of industry best practices across all assets classes.

Establish and maintain a robust inventory of controls, operational metrics, and management information.

All other duties or responsibilities assigned.

Qualifications, Skills & Attributes

7 years of experience in market regulation, preferably with the SEC, CFTC, self-regulatory organization, or a large broker or financial institution with an international customer base.

5 years of management experience.

Deep knowledge of manipulative trading patterns, such as spoofing/layering, wash trades, marking the close, and order ramping.

Fluent in industry standards and regulatory expectations on surveilling manipulative trading patterns.

Experience developing or enhancing surveillance reports, including above-the-line and below-the-line testing.

Outstanding leadership, communication, analytical, and project management skills.

Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.

High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.

Bachelor’s degree required, preferably with a science, math, engineering, or finance concentration.

Willingness and ability to obtain financial registration exams promptly (Series 3, 4, 7, and 24).

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant

Retirement plan 401k 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 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.

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Company info

Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com