Associate General Counsel -Regulatory and Enforcement

  • Competitive
  • Washington, DC, États-Unis
  • CDI, Plein-temps
  • Interactive Brokers
  • 16 déc. 17 2017-12-16

Associate General Counsel -Regulatory and Enforcement

Overview

Interactive Brokers is looking for a motivated and talented attorney with experience in securities and broker-dealer issues to become a regulatory and enforcement-focused Associate General Counsel in the firm's Washington, D.C. office.

Interactive Brokers, a subsidiary of Interactive Brokers Group, Inc. (NASDAQ: IBKR), 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 26 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*. 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.

*Figures as of March 31, 2017. For more information about Interactive Brokers visit: www.interactivebrokers.com

Responsibilities

Assisting the firm's General Counsel, Deputy General Counsel and Chief Regulatory Counsel in handling various regulatory and enforcement- related matters, including:

  • Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
  • Evaluating the legal and regulatory impact of new proposed business lines or offerings.
  • Identifying necessary changes to the firm's systems and procedures to meet new rules/regulations.
  • Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
  • Drafting agreements, disclosures, account documentation and website materials


Qualifications

  • 5-10 years post-J.D. experience at a law firm, financial services regulatory agency, exchange or broker-dealer
  • Experience in handling regulatory and enforcement matters
  • 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