Senior Compliance Officer – Advisory; FTC United Kingdom

Senior Compliance Officer – Advisory (12-month FTC)

London, United Kingdom

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron’s has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Interactive Brokers (U.K.) Ltd, based in London and part of IBKR's global online financial brokerage services, is seeking an experienced compliance professional to join our dynamic team in a 12-month fixed-term contract to provide maternity cover. This is a pivotal advisory-focused role where you'll act as a trusted partner to the business, delivering expert regulatory guidance across our operations.

You will be responsible for proactive regulatory advice to the organisation and supporting our Compliance programme (working alongside Compliance Monitoring Manager). You'll identify and manage key areas of regulatory risk and provide guidance to the business on regulatory matters, responding both proactively and to emerging incidents. As part of our dedicated General Compliance team within the compliance department, you'll handle multiple aspects of consumer protection compliance, and regulatory change initiatives.

Your responsibilities will not include anti-money laundering (AML) related tasks. You will collaborate with general compliance colleagues across the Pan-European region. Reporting line depends on the candidate’s seniority.

We currently operate a hybrid working model at IBKR, allowing you to work from our impressive central London office 3 days per week, where we provide complimentary lunch daily from a variety of vendors.

• Support the delivery of regulatory compliance advice across the organisation and support European Compliance programme
• Support Head of Compliance in for the compliance advisory, partnering with senior management and cross-functional teams including product, legal, and operations to deliver practical and robust guidance on regulatory matters
• Manage the delivery of compliance-owned policies, processes, and controls, proactively identifying and implementing enhancements in conduct space including Product Governance, PRIIPs, Client Appropriateness, Financial Promotions, Consumer Duty, and other conduct matters under MiFID II/FCA Handbook
• Contribute to the production and delivery of internal and governance reports
• Monitor regulatory developments and assess their impact on the business, coordinating implementation of necessary changes, including conducting legislative gap analysis and internal compliance reviews, ensuring documentation remains current and effective
• Support the general compliance team as business needs evolve, which may include approving marketing materials, and other core compliance tasks.

Qualifications

• Minimum 5 to 7 years' experience in Compliance within a retail-focused financial services company, working at the FCA or PRA consultancy level
• Strong technical knowledge of UK and European financial services regulation, particularly as it applies to retail investments; deep understanding of FCA expectations, specifically conduct risk and consumer protection
• Comprehensive knowledge of the regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD, DISP and other relevant FCA sourcebooks
• Excellent at influencing and building relationships across all organisational levels
• Commercial and pragmatic approach to…