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Regulatory Compliance Specialist

2 months ago

London, Greater London, United Kingdom Interactive Brokers Full time

Job Summary:

We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Interactive Brokers. As a key member of our Compliance department, you will play a critical role in ensuring that our business operations are in compliance with relevant regulatory requirements.

Key Responsibilities:

  • Drive compliance oversight through the testing and monitoring programme, identifying areas for enhancements of systems and controls operated by the firm.
  • Execute all testing and monitoring activities in a timely and thorough manner in accordance with industry standards and expectations of management, auditors, and regulatory bodies.
  • Liaise with control owners to discuss and agree on any remedial actions emerging from the testing and monitoring activities and follow through to ensure agreed action plans are met in a timely and accurate manner.
  • Report on outcomes and conclusions of testing and monitoring and ancillary activities, including the remediation of any gaps identified.
  • Effectively organise and document information arising from the execution of the monitoring and testing programme targeted at different stakeholders.
  • Prepare management presentations and communication on regulatory developments and Compliance Monitoring Framework.
  • Create, maintain, and implement compliance-related policies; conduct internal compliance reviews, and perform legislative and regulatory gap analysis, ensuring all artefacts are updated regularly.
  • Assist the Compliance department with its advisory role in the business by conducting research, processing requests and queries.
  • Manage regulatory requirements, including regulatory compliance advice in periodic reviews of regulatory change impact.
  • Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the compliance testing and monitoring plan and the business.
  • Support others in the General Compliance team as required.

Requirements:

  • Bachelor's degree or equivalent.
  • Prior 3+ years' experience in regulatory compliance, audit or risk function in an investment or platform-based environment, ideally within areas of General Compliance or Investment Compliance.
  • Knowledge of the applicable regulatory framework, including Conduct Risk, Consumer Duty, COBS, PERG, SYSC, PROD and other relevant regulatory requirements.
  • A pragmatic, commercial and creative approach to problem solving and decision-making.
  • A team player with great people skills who can effectively collaborate with colleagues throughout the business to build strong relationships and achieve results.
  • A high degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions (strong Excel skills are a must).

What We Offer:

  • Performance-based discretionary cash bonus scheme.
  • Group Life Assurance cover.
  • Occupation pension scheme based on Gross earnings.
  • Hybrid working model.
  • Above statutory annual leave, increasing with service.
  • Daily company-paid lunch and healthy snack options throughout the day (when working from the office).
  • Access to Private Medical Insurance, Dental Plan and / or Health Cash Plan.
  • Corporate events.
  • Travel season ticket loans.
  • Cycle to work scheme.