Regulatory & Product - Associate General Counsel
About The Position
Interactive Brokers Group, Inc. is a global financial services company seeking a motivated and talented regulatory attorney with experience in commodities issues in the futures commission merchant space. This role will be part of the firm’s General Counsel office and is a hybrid position requiring 4 days in the office and 1 day remote. The ideal candidate will have knowledge and experience regarding U.S. federal securities laws, as well as strong knowledge of electronic trading systems and/or computer systems. The company is headquartered in Greenwich, Connecticut, with offices in over 15 countries, and has a long history of focusing on technology, automation, and innovation to serve clients worldwide.
Requirements
- At least 5 years of post-J.D. experience at a law firm (with broker-dealer or FCM advisory experience), financial services regulatory agency, exchange, broker-dealer or FCM.
- Experience in handling regulatory and enforcement matters.
- Member in good standing of the bar of any U.S. state or the District of Columbia.
- Solid academic background.
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems.
- Outstanding oral and written communication skills.
- Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.
Nice To Haves
- Knowledge and experience regarding the U.S. federal securities laws is a substantial plus factor.
- Strong knowledge of electronic trading systems and/or computer systems.
Responsibilities
- Assisting the firm’s Chief Regulatory & Product Counsel in handling various regulatory matters.
- Evaluating the legal and regulatory impact of new proposed business lines or offerings.
- Advising the firm’s Compliance Department and various business lines on federal commodities and securities law, including federal statutes, SEC and CFTC rules, and SRO rules (e.g., FINRA, NFA, CME, etc.).
- Identifying necessary changes to the firm’s systems and procedures to meet new rules/regulations.
- Crafting written specifications or instructions for programmers and technology staff to respond to new regulations or to launch new business lines.
- Drafting agreements, disclosures, account documentation and website materials.
- Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities.
Benefits
- Competitive salary
- Annual performance-based bonus
- Stock grant awards
- 401(k) retirement plan with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits.
- 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
- Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
- Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
- Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
- Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
- Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
- Education reimbursement and professional development opportunities
- Legal services, telehealth access, and voluntary insurance options
- Backup child and adult care support through Care.com
- Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Ph.D. or professional degree
