Title: Compliance Officer - Securities and Futures
Competitive Salary plus Discretionary Bonus
Location: Greenwich, CT

Description:
This position will report to the Chief Compliance Officer and will be responsible for:

- Monitoring trading activity from surveillance reports, reviewing employee communications, employee trading. Designing and implementing continuing education training for staff.

- Responding to communications including letters, phone calls, and email from regulators, attorneys, using investigative skills and knowledge to research, analyze and resolve customer issues.

- Tracking and reporting of customer complaint data including reviewing and analyzing applicable information regarding the investigation and complaint resolution. Documenting complaint trends or potential compliance issues based on database analysis and suggesting proactive solutions.

- Assisting with the investigation and analysis of issues relating to written supervisory and operational procedures, advertising and sales literature and other relevant data.

Qualifications:
- Minimum of 5 years experience

- Previous employment experience with a Broker Dealer, FCM, or SRO
- Track record of outstanding achievement in academics, employment, and personal endeavors
- Ability to work in an automated, hands-on environment

- BS/BA in related field

- Securities licenses: Series 7& 24 preferred

Submit a resume to afeist@interactivebrokers.com