Compliance - Compliance Officer

About the Company

Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.

For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers.

Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.

About the Role

We are seeking a highly motivated and experienced Compliance Officer to join our GIFT IFSC entity. The ideal candidate will play a pivotal role in ensuring our operations adhere to all applicable laws, regulations, and internal policies of the International Financial Services Centers Authority (IFSCA), SEBI, and other relevant regulatory bodies. This position requires a proactive approach to identifying and mitigating compliance risks, while fostering a culture of integrity and regulatory adherence across the organization.

Key Responsibilities

• Regulatory Compliance: Ensure strict adherence to IFSCA regulations, SEBI guidelines, and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures.
• Policy Development & Implementation: Develop, maintain, and update internal compliance policies and procedures. Ensure these are effectively communicated and understood by all relevant stakeholders.
• Risk Assessment & Monitoring: Conduct regular risk assessments to identify potential compliance issues. Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues.
• Training & Awareness: Lead training sessions for employees on compliance requirements and best practices. Ensure all staff are aware of and adhere to compliance policies.
• Internal Audits: Conduct internal audits to evaluate compliance with regulatory requirements. Identify and address any compliance gaps or issues.
• Reporting: Prepare and present regular reports to senior management and regulatory authorities on compliance status and any issues identified. Serve as the primary point of contact for regulatory inquiries and submissions.
• Data Management: Maintain accurate and up-to-date records of compliance activities, audits, and regulatory communications. Ensure data integrity and confidentiality.

Qualifications

• Education & Certification: Qualified Company Secretary from ICSI (Institute of Company Secretaries of India). Additional qualifications such as CAMS, ACCA, or a relevant law degree are highly desirable.
• Experience: Minimum of 2 years of experience in compliance, risk management, or a related field, preferably in the financial services industry. Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.

• Skills:
• Strong understanding of financial regulations and compliance requirements.
• Excellent analytical and problem-solving skills.
• Strong attention to detail and ability to manage multiple tasks simultaneously.
• Excellent communication and interpersonal skills.
• Proficiency in MS Office and compliance management software.

Why Join Us?

At Interactive Brokers, we are committed to providing a secure, efficient, and compliant trading environment for our clients. As a Compliance Officer, you will play a crucial role in maintaining our high standards of integrity and regulatory compliance. You will work in a dynamic, fast-paced environment with a team of professionals dedicated to excellence.