Regulatory Correspondence Counsel

Job Description

Interactive Brokers is seeking a Regulatory Correspondence Counsel to join its growing Legal Department. This role involves overseeing and providing legal input on various regulatory matters, including responses to inquiries from FINRA, the SEC, the CFTC, exchanges, law enforcement, and other federal and state regulators. The Regulatory Correspondence Counsel will work within the IBKR Investigations & Enforcement Legal team.Responsibilities include:

• Working with IBKR’s Regulatory Correspondence (RC) team to respond to routine regulatory inquiries
• Reviewing, overseeing, and providing legal advice regarding IBKR’s responses to regulatory inquiries
• Preparing written responses to regulatory inquiries as needed
• Conducting risk assessment of compliance reviews and regulatory inquiries and provide feedback as necessary
• Liaising with other IBKR departments as needed to address items raised during the course of regulatory inquiries and compliance reviews
• Interfacing with regulators and law enforcement as needed
• Identifying and escalating regulatory requests/responses to other members of the Legal team where appropriate

Requirements:

• Juris Doctor (JD) from an accredited law school
• Admission to a state bar within the United States or the District of Columbia
• Minimum of two (2) years of experience as a practicing attorney in the financial services industry, preferably at a law firm, financial institution, and/or securities or commodities regulator, or comparable non-legal experience in the financial services industry

Interactive Brokers offers:

• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
• 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
• Education reimbursement and learning opportunities