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Regulatory & Product - Associate General Counsel
mid · Law
About the Company
Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.
For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers.
Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.
This is Hybrid role (4 days in office /1 day remote)
About your Team:
Interactive Brokers is looking for a motivated and talented regulatory attorney with experience in commodities issues in the futures commission merchant space, who is interested in joining the firm’s General Counsel office either in Greenwich, CT, New York City, or Washington, DC. Knowledge and experience regarding the U.S. federal securities laws is a substantial plus factor, as is strong knowledge of electronic trading systems and/or computer systems.
What will be your responsibilities within IBKR:
- Assisting the firm’s Chief Regulatory & Product Counsel in handling various regulatory matters, including:
- 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.
What required skill’s you need:
- 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.
To be successful in this position, you will have the following:
- Self-motivated and able to handle tasks with minimal supervision.
- Superb analytical and problem-solving skills.
- Excellent collaboration and communication (Verbal and written) skills.
- Outstanding organizational and time management skills.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus, and 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