Head of Compliance Testing

Interactive Brokers Group, Inc. is a global financial services company with offices in more than 15 countries. We provide electronic brokerage services around the clock to clients in over 200 countries and territories, serving individual investors and institutions with a focus on technology and client teractive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of U.S. securities and/or commodities regulations and has relevant experience at a broker/dealer, regulatory agency, exchange, accounting firm or law firm. The role involves designing, maintaining and managing a compliance testing program.ResponsibilitiesManaging the firm’s annual compliance testing programCoordinating the execution of testing reviews with stakeholders across departments and ensuring reviews are conducted in accordance with firm proceduresAssist 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 practicesExecute the firm’s compliance testing programDrafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staffReporting compliance testing findings to management and defining management action plans with stakeholders to address findingsTracking compliance testing findings from discovery to remediationOther core compliance activities as neededQualificationsAt least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on securities or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferredExperience testing regulatory requirements related to markets and trading across products such as stocks, options, bonds and futuresHigh level of comfort and fluency with computers and technologyOutstanding oral and written communication skillsAbility to work independently and manage multiple tasks with minimal supervisionRegistrations (SIE, Series 7, 24 and/or Series 3) or, if unregistered, in good standing of the bar of any U.S. state or the District of ColumbiaExperience with Atlassian Confluence/JIRA preferredCompany Benefits & PerksCompetitive salary, annual performance-based bonus and stock grantRetirement plan 401(k) with a competitive company matchExcellent health and wellness benefits, including medical, dental and vision; company-paid medical premiumWellness screenings and assessments, health coaching and counseling through an Employee Assistance Program (EAP)Paid time off and a generous parental leave policyDaily company lunch allowance and a fully stocked kitchen with healthy optionsCorporate events, team outings, volunteer activities and company sports teamsEducation reimbursement and learning opportunitiesModern offices with multi-monitor setupsEqual Employment OpportunityInteractive Brokers is an equal opportunity employer. We do not discriminate on the basis of any protected status. This posting may contain voluntary self-identification sections related to government reporting requirements. Participation is voluntary and information provided is confidential. #J-18808-Ljbffr

Created: 2025-09-21