Chief Compliance Officer Chief Compliance Officer …

Interactive Brokers
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 31 Mar 20
Interactive Brokers
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 31 Mar 20
Chief Compliance Officer
IBKR Ireland, 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
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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Due to the continued expansion of our business activities, we are establishing an investment firm in Dublin and have the following opportunity for a motivated professional.
Job Description:
We are seeking an experienced compliance professional to serve as Chief Compliance Officer (Compliance Director) of our new Dublin-based affiliate office. The Compliance Director will be responsible for overseeing our new Irish affiliate's Compliance Program and engaging with the Central Bank of Ireland in relation to compliance matters.
This includes ensuring that there is a comprehensive Compliance plan, compliance policies and procedures, and detailed Compliance monitoring program to cover all of IBKR's regulatory obligations, including MAR, fitness and probity, MiFID/R and EU securities law requirements.
The Compliance Director will also be responsible for overseeing the firm's anti-money laundering systems and controls and supervising the implementation of a financial crime program. This role will report to local management and IBG's Global Chief Regulatory Officer.
This is a PCF-15 position so the appointment to this role is subject to the approval of the Central bank of Ireland.
Key Responsibilities:
  • Build, develop and manage a high-performing team of Compliance professionals, aligned to the Group Compliance strategy and initiatives, who will ensure that local regulatory requirements are addressed.
  • Draft and implement firm policies, controls and written supervisory procedures.
  • Develop training programs to educate employees on compliance issues.
  • Handle contacts with the firm's regulators or other competent authorities, and ensure that the firm makes appropriate and timely responses to all regulatory inquiries.
  • Craft detailed written instructions for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines.
  • Develop and implement remedial action plans in response to internal and external audit findings.
  • Ensure the adequacy and execution of Suspicious Activity Reporting procedures related to AML and Market Abuse.
  • Ensure that the execution of the AML and trade surveillance program in line with SLAs and CBI regulations and expectations, whether through local staff or outsourced arrangements with the firm's affiliates.
  • Chair the firm's Product Governance Committee.
Qualifications and Experience:
  • 5-10 years Compliance/Regulatory experience at a senior level, in a regulated financial services business (preferably in the investment services/markets space).
  • A minimum of 3 years people/team management.
  • Demonstrated experience dealing with financial services regulators.
  • A University degree in accounting, law, technology or finance.
  • Solid knowledge of AML requirements and regulatory expectations.
  • Excellent knowledge of European equity and derivative trading rules, including best execution, market abuse detection and reporting and algorithmic trading controls and governance.
  • High degree of comfort with computers and technology, an and understanding of how technology is applied to business and regulatory problems.
  • Excellent oral and written communication skills.
  • Ability to work in a dynamic, medium-size office environment.
  • Candidates must have an EU passport or a qualifying work permit/residency to work in Ireland, and must meet the minimum requirements under Central Bank of Ireland fitness and probity regime.
You will be part of a team that is building one of the world's strongest brokerage brands, and part of a global enterprise that employs technology in all aspects of its business to generate growth.