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Compliance Oversight Manager
2 months ago
Interactive Brokers, a leading online financial brokerage services company, is seeking a seasoned compliance professional to join its fast-paced business in a complex operating environment. As a Compliance Oversight Manager, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.
Key Responsibilities- Design and maintain testing and monitoring programs for regulatory areas, including financial promotions, product governance, and consumer protection.
- Drive compliance oversight through the testing and monitoring program, 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 remedial actions emerging from the testing and monitoring activities.
- Report on outcomes and conclusions of testing and monitoring and ancillary activities, including the remediation of any gaps identified.
- Effectively organize and document information arising from the execution of the monitoring and testing program, 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.
- Assist the Compliance department with its advisory role in the business by conducting research, processing requests and queries.
- Manage regulatory requirements, including product governance and consumer protection, and provide 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.
- 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.
- Outstanding analytical, problem-solving, organization, and follow-up skills.
- An analytical mind and able to recognize and pinpoint the complexities of procedures and regulations but then simplify these for others.
- 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.
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions.
- Ability to work independently, exercising judgment with discretion, and manage multiple, deadline-driven priorities with strong attention to detail in a fast-paced work environment.
- Ability to work under pressure, formulate and articulate solutions, and defend assumptions.
- Versatile as the needs and demands of the team evolve.
Interactive Brokers is a leading online financial brokerage services company, based in London, with a global presence. We offer a dynamic and complex environment with growing regulatory challenges and product and process innovations.
