Interactive Brokers · 1 day ago
Head of Compliance Testing
Greenwich, CT
Full-time
Hybrid
Senior Level
5+ years expInteractive Brokers Group, Inc. is a global financial services company headquartered in Greenwich, CT, known for its cutting-edge technology and client commitment. They are seeking a Head of Compliance Testing to manage and enhance the firm's compliance testing program in accordance with relevant regulations and industry best practices.
E-CommerceFinanceFinancial Services
Responsibilities
Managing the firm’s annual compliance testing program
Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures
Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices
Execute the firm’s compliance testing program
Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff
Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings
Tracking compliance testing findings from discovery to remediation
Other Core Compliance activities as needed
Qualification
Required
At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM
Experience in a compliance testing or audit role is strongly preferred
Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures
High degree of comfort and fluency with computers and technology
Outstanding oral and written communication skills
Ability to work both independently and to multi-task with minimal supervision
Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia
Preferred
Experience with Atlassian Confluence/JIRA preferred
Benefits
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with a competitive company match
Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company lunch allowance provided, 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 multi-monitor setups
Company
Interactive Brokers
Rated #1 Active Traders and #1 International Trading in 2025 by StockBrokers.com.
Founded in 1977Greenwich, Connecticut, USA
1001-5000 employees
H1B Sponsorship
Interactive Brokers has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (29)
2024 (24)
2023 (12)
2022 (21)
2021 (10)
2020 (12)
Funding
Current Stage
Public CompanyTotal Funding
unknown2009-06-01Post Ipo Equity
2008-01-01Post Ipo Equity
2007-05-04IPO
Leadership Team
Graeme Farrell
Group Chief Risk Officer & UK Board Director
Recent News
2026-01-05
2026-01-03
Company data provided by crunchbase