Interactive Brokers Canada
Inc. , an Interactive Brokers Group LLC company is expanding its Customer
Services Group at its Montreal headquarters. We are looking for experienced
candidates with a background in financial markets, particularly stocks
and exchange traded derivatives, as well as IT/technology skills, for
the position of Customer Service Representative:
Responsibilities
Liaison to IB's retail and professional clients, including
independent traders, financial groups/banks/dealers, exchanges (domestic
and international), financial advisors, hedge funds.
Problem management with focus on wide scale service issues. Core
competences include: trade and margin analysis, account management and
funding, products (cash market and derivatives) and exchanges (global),
technical services, securities regulations.
Projects including development of automation technologies, service
level standards, legal/compliance procedures, development of internal
knowledge bases.
Qualifications
Experience: minimum 5 years experience in trading or brokerage services
Registrations: CSC, CPH and Options and Futures licenses.
US Registrations: 7, 55, 63, 3, 4 or 24 desirable
Computer: IT proficiency required. Any programming and/or UNIX experience
optimal, but advanced skills in Excel and/or databases (SQL) qualify.
Education: University degree (Bachelors) required.
Language skills: English and French, Mandarin or Cantonese a plus.
Interactive Brokers is expanding
in the Asian region and looking for variety of highly motivated individuals
that can drive the expansion. The primary responsibility will be to source
new clients to trade through Interactive Brokers Direct Market Access
(DMA) trading platform. IB markets its trading platform to hedge fund operators,
financial advisors, proprietary trading desks, brokerage companies and
active
retail traders.
Job Requirements
Candidate will be required to sit for licensing exams.
Any current qualifications or licenses will be a bonus. Candidate
will be licensed in HK under Type 1 and 2 and NASD Registrations Series
7.
University
degree (Bachelors) required.
Must possess excellent language skills
in English and at least one Asian language.
As a liaison to Interactive Brokers’ retail and professional clients,
the IB Customer Service Representative (CSR) is accountable for providing
unparalleled client service to IB’s existing and prospective clients.
This includes retail customers, financial advisors, and hedge fund operators.
Our aim is to build and maintain long-term customer relationships, provide
access to desired markets and increase our customer retention as we expand
on our product and service offerings.
Responsibilities
Respond to inquiries, concerns and complaints from existing and prospective
clients via telephone, e-mail, and on-line chat to achieve a mutually
satisfactory solution while complying with policies, practices and procedures.
Problem management with focus on wide scale service issues.
The core competencies include:
Trading and margin analysis.
Ability to identify, analyse, and escalate complex issues.
Must demonstrate excellent troubleshooting and problem resolution skills
required to bring problems to a quick resolution.
Takes personal responsibility for identifying client needs and responds
by providing a high value experience.
Assist with marketing and advertising.
Requirements
Candidate will be required to sit for licensing exams. Any
current qualifications of licenses will be a bonus. Candidate will be
licensed in HK under Type1
and 2 and NASD Registrations Series 7.
University degree (Bachelors) required.
Must possess excellent language skills in Chinese and English, oral & written
communication as well as analytical skills.
Strong customer service focus, detail oriented, quick learner, superior
listening skills, good problem solver, a decision maker and analytical.
Must also have good communication and presentation skills along with excellent
coordination and teamwork.
University degree or banking apprenticeship with further education
(FH or similar)
Previous experience as project assistant in financial and/or legal environment
Efficient and detail orientated with high quality work standard
Organized, with excellent communication skills, both written and verbally
Fluent in both English and German (other languages a valuable asset)
Proficiency in MS office and other office applications
Flexible and motivated with ability to work independent as well as in
a team
Responsibilities
Assist with project co-ordination and project planning from
A-Z
Effective communication of project status and progress
Help implement & structure projects / processes
Daily correspondence with internal and external parties
Ad hoc project related administrative tasks
We offer
International office environment
Competitive compensation package including share plan
Demanding but rewarding team orientated environment
This position has an outstanding profile and is an excellent platform
to build onto your existing experience. Are you interested in a challenging
position within an international financially successful organization?
If
you have drive, motivation and initiative, send your application to:
Click here to
email your CV, or fax to 041 726 95 45.
EU working permit is required to apply for this position.
Exchange Traded Funds Trader
Responsibilities
Trade Exchange Traded Funds for the proprietary book
Maintain and monitor these products in the electronic trading system
Management of positions
Adhere to creation & redemption deadlines
Responsible for the optimal communication internally as well as externally
Requirements
Good technical background in Unix/Linux/Windows & Perl
2 - 4yrs Market Making experience in ETF’s
Experience in automated trading (electronic trading environment)
Sound knowledge of ETF creations & redemptions & ETF markets
Good English, German and generally good communication skills
Detail orientated and conscientious working manner
React quickly under highly stress situations
Driven, assertive and positive attitude with strong team player spirit
We Offer:
International and dynamic office environment
Competitive compensation package including share plan
Paid lunch in the office
Demanding but rewarding team orientated environment
Click here to
email your CV, or fax to 041 726 95 45.
Network Engineer
Responsibilities:
Maintain, expand, and monitor our European network infrastructure
Establish network connections to new exchanges / co-locations
New installation and upgrades of Cisco Routers and Switches (L2/L3)
Creating and maintaining network documentations
Monitor and troubleshoot the networks in Asia and North America during their non-business hours
Qualifications:
Excellent IP networking skills on a CCNP level
Advanced knowledge in the latest networking protocols and technologies
Technical background and 2-4 years of practical experience in the Networking area
Strong analytical abilities and problem solving/trouble shooting skills
Very good oral and written English and German
Added Value:
CCNA/CCNP certificates
Practical experience with LINUX/UNIX operating systems
Shell and Perl scripting abilities
We Offer:
International fast growing environment within a highly successful company
Flexible working hours
Competitive compensation package including share plan
Paid lunch in the office
Interested candidates should send their resume preferably by email to:
Click here to
email your CV, or fax to 041 726 95 45.
Trader for Securitized Derivatives
Responsibilities:
Trading Securitized Derivatives - warrants and discount certificates
Maintain and monitor these products in the electronic trading system
Working within Securitized Derivatives team
Requirements:
2 - 4yrs Trading experience in Securitized Derivatives
Good technical background in Unix/Linux/Windows
Proven analytical, computer and interpersonal skills
Good English and German
Detail orientated and conscientious working manner
Must be able to cope in a fast-paced and demanding environment
Team player
We Offer:
International and dynamic office environment
Competitive compensation package including share plan
Paid lunch in the office
Demanding but rewarding team orientated environment
Interested candidates should send their resume preferably by email to:
Click here to
email your CV, or fax to 041 726 95 45.
Mumbai
Updated: February 2009
Click on a bar(s) below or use the Expand All/Contract All links below for more information.
Interactive Brokers is looking to hire a highly motivated and career
minded individual having the financial markets and management experience
necessary
to establish
and operate a customer service call center located in Mumbai. Position responsibilities
and requirements are outlined below.
Responsibilities
Hiring and training a team of Customer Service Representatives
(CSRs) who will provide account application, funding, trade and technical
support to
Interactive Brokers clients (both domestic and overseas) received
via either telephone, online chat, webticket or email;
Supervision of daily operations to ensure that client inquiries
are attended to and resolved in an accurate and expeditious manner, with
an emphasis
on courtesy and efficiency;
Oversight of risk management activities with the goal of protecting
the organization and its clients with consideration given to regulatory
compliance;
Coordination of activities with US, Asian, European and Canadian
Customer Service Centers and interaction with external departments such
as Programming,
Clearing, Cashiering and Compliance on common issues.
Ability to readily recognize and resolve client conflicts and
problems;
Identify opportunities for technology based improvements and
efficiencies;
Reporting of office performance metrics to senior management;
and
Handling of administrative tasks relating to office operations,
as required.
Requirements
Bachelors or Masters degree;
Minimum 3 years experience in financial services position (e.g.,
brokerage, banking, trading, exchange or clearinghouse);
Strong verbal and written communication skills;
In depth understanding of the following financial instruments:
stocks, securities options, futures, options on futures, foreign exchange
and fixed income;
Working knowledge of local exchange operations and regulations,
product offerings and specifications, execution platforms and rules, and
margin
methodologies;
Registrations/Certifications: NFCM certified, particularly
with respect to the Derivatives Markets, Capital Markets and Depository
Operations modules.
Licensing in US FINRA Series 7, 24, 63 or other a plus;
Fluent in English, Hindi and/or Marathi. Other language skills
a plus.
Interactive Brokers is looking to hire highly motivated and career minded
individuals for Customer Service Representative (CSR) positions in our Mumbai
service center. Position
responsibilities and requirements are outlined below.
Responsibilities
Support inquiries received from Interactive Brokers clients
(both domestic and overseas) received via telephone, online chat, webticket
or email. Inquiry
topics typically include:
Application assistance from prospective clients;
Account funding;
Commission structure, interest and fees;
Product availability & attributes;
Assistance with trading platform operation and features;
Order types and routing logic;
Order status, settlement, exercise & assignment, expiration
processing, and corporate actions
Technical assistance
Ensure that client inquiries are attended to and resolved in an accurate
and expeditious manner, with an emphasis on courtesy and efficiency;
Account surveillance and risk management
Requirements
Bachelors or Masters degree;
1-2 years experience in financial services (e.g., brokerage, banking,
trading, exchange or clearinghouse);
Strong verbal and written communication skills;
In depth understanding of the following financial instruments: stocks,
securities options, futures, options on futures, foreign exchange and fixed income;
Working knowledge of local exchange operations and regulations, product
offerings and specifications, execution platforms and rules,
and margin methodologies;
Registrations/Certifications: NFCM certified, particularly with respect
to the Derivatives Markets, Capital Markets and Depository Operations
modules. Licensing in US FINRA Series 7, 24, 63 or other a plus;
Fluent in English, Hindi and/or Marathi. Other language skills a plus.
The Interactive Brokers Group LLC is expanding the Client Services
operations located at our main North American call center in Chicago. We
are looking for experienced candidates with a background in Funds and Banking
Operations.
The IB Customer Service Team handles a tremendous variety of inquiries
relating to:
Asset transfers
Checks/Wire deposits and withdrawals
ACH deposits and withdrawals
Secure Transactions.
IRA contributions/distributions
Tax reporting
Fraud Prevention
It is an ideal opportunity for a technology oriented financial service
professional to work on the leading edge of the brokerage industry.
Qualifications
Experience: minimum 5 years experience in brokerage services
with comprehensive banking/cashiering industry knowledge. Ideally strong
understanding of IRS
and foreign tax regulations.
Education: Bachelors Degree in Finance/Economics, Business,
Engineering
Registrations: NASD Series 7, 63.
Computer: competency working in Windows operating system with
various MS applications (Word/Excel). Any UNIX, web development, or
database familiarity helpful but not required. Must be very proficient
in using the
internet for information acquisition. Bloomberg, Reuters or similar
data application experience required at an intermediate or higher level.
Temperament: excellent communication skills, verbal and written.
Ability to multi-task. Proven experience in an environment requiring
client communications required.
To assist potential and existing clients with the application
process, answer general questions about services Interactive Brokers offers,
demonstrate and express a positive attitude when speaking to callers.
Responsibilities
Respond to inbound customer calls in a professional manner
and addressing customer issues.
Provide customers timely and accurate information reflecting a positive
and customer oriented image of the organization.
Maintain a courteous and pleasant demeanor while speaking with customers.
Handle multiple tasks.
Adapt to the needs of the individual caller.
Offers alternatives and options to satisfy customer concerns.
Researches and resolves a wide variety of customer questions/issues.
Qualifications
Bachelor's degree
Experience: Minimum 2 years in Customer and/or Financial Service
Registrations: Series 7 and 63 a plus
Outstanding written and oral communication skills
Basic understanding of brokerage regulations and rules that govern client
accounts
Demonstrates experience in handling client concerns and issues with
tact and diplomacy
Ability to work independently and effectively as part of a team, while
handling multiple tasks and responsibilities simultaneously
Interactive Brokers LLC(IB) is looking
for System Support Specialists to become part of a group responsible
for the overall integrity of our global
brokerage system, operating processes, network services, and hardware
systems. Technicians will be responsible for in depth support
for IB trading desk,
help desk, and other operations groups across the US, Europe, and
Asia. Technicians will work with UNIX system administrators, programmers,
vendors locally and abroad, as well as our global help desks to
troubleshoot
system
problems and operational issues. Technicians will also interact
with various levels of the organization to communicate problem status
and
resolution.
Requirements
IB is looking for highly motivated Systems Support Technicians
with excellent oral and written communications skills.
Successful candidates will posses a minimum of 1-year experience in
a support related position, have a working knowledge of the UNIX operating system,
and some PC hardware/software troubleshooting experience.
Internet technologies, networking know-how, and an in-depth understanding
of TCP/IP are a plus.
Completion of a two or four year degree is a plus, as well as previous
experience in the financial industry.
Client Services Representative – Ticket Response Team
Summary
Our Client Services group is responsible for providing front-line support
to an experienced and active clientele base covering wide range of direct
access brokerage activities including trade support, banking activities,
guidance with trading platform and account opening. We are seeking to hire
Client Services Representatives whose principal activity is to formally
respond to client and prospective client inquiries received via email and
our proprietary ticketing system. Position responsibilities and requirements
are outlined below.
Responsibilities
Respond to client inquiries in an accurate, timely and courteous manner
Create
customer service scripts and response templates for ongoing use in client
communications.
Assist in the creation and maintenance of internal knowledge database
and FAQs
Look for efficiencies to improve speed of response.
Track common client inquiries and problems with a view towards preemptive
solutions; contribute ideas that lead to improvements in systems, procedures
and/or policies.
Review client survey feedback for quality assurance purposes; Determine
where client follow-up is required
Facilitate internal communication of problems and findings to Client
Services Representatives providing telephone and chat support.
Requirements
Bachelor’s or advanced degree.
Extremely client-focused individual with passion for writing.
Prior experience in content writing and editing; ability to research
and explain complex matters in a rapid, clear and concise manner.
Understanding of financial services, products and markets.
Multi-language skills a plus.
This position may require you to work weekends and/or evenings.
The Training & Documentation Specialist will be responsible for establishing
a maintaining a comprehensive training, testing and documentation program
for various functions within the brokerage client support area. The individual
will also have responsibility for documentation of the systems and processes
used by the Department and participate in quality assurance objectives.
Responsibilities:
Conduct internal training needs assessment and recommend training
programs and plans
Design and/or prepare internal training and instructional materials;
conduct staff training on group or individual basis.
Develop and administer internal testing and post training testing
and follow-up to ensure learning objectives have been met;
Write and maintain online system documentation and end-user instruction
material;
Write and maintain online policy and procedures documentation;
Assist with external Quality Assurance objectives and other tasks
as assigned.
Minimum Job Requirements:
Bachelor’s degree in Journalism, Technical Writing, Business
Administration, or other related field. Or equivalent work experience
2-5 years of relevant experience; background in financial services
(e.g., brokerage, trading or banking) and/or customer service help
desk operation
preferred.
Strong interpersonal and communication skills with solid aptitude
and affinity for technology
Working knowledge of CBT/WBT e-learning packages (SumTotal Instructor,
Webex), and other relevant software tools including Microsoft Word,
Adobe Acrobat, TWIKI, and RoboHELP
Comfortable and proficient in multi-tasking, shifting priorities,
and adhering to deadlines in a fast-paced environment
Ability to develop training content through independent research
and subject matter expert interviews.
We are seeking high-level, serious individuals with the financial services
industry background and professional demeanor suitable for interaction with
an experienced and active clientele base. The ideal candidate will have
a strong math and technical aptitude, the ability to troubleshoot and explain
complex subjects, and the capacity to identify opportunities for technology-based
improvements. Position responsibilities and requirements are outlined below.
Responsibilities
Resolve routine and complex client service issues in a thorough and
expeditious manner, utilizing sound judgment with an emphasis on courtesy.
Client
inquiries typically encompass a broad array of themes including:
Operability of IB Trader Workstation, Web Trader and Mobile
Trader execution platforms including trading modules and analytical
tools;
Cash deposit and withdrawal activity, position transfers, and account
administrative functions;
Product availability and attributes;
Exchange, clearing and depository functions;
Order types and routing logic;
Order status, trade and delivery settlement, exercise & assignment,
expiration processing, and corporate actions;
Margin calculations;
Commission structure, interest and fees
Coordinate activities with other local and international Customer Service
divisions and interaction with external departments such as Programming,
Clearing, Cashiering and Compliance on common issues.
Contribute to the development of client service systems, policies and procedures.
Requirements
Bachelor’s or advanced degree.
Minimum 3 years experience in financial services position (e.g., brokerage,
banking, trading, exchange or clearinghouse).
Strong verbal and written communication skills to accommodate client
inquiries directed via telephone, email or online chat.
In depth understanding of the following financial instruments: stocks,
securities options, futures, options on futures, foreign exchange and
fixed income.
Working knowledge of various exchange operations and regulations, product
offerings and specifications, execution platforms and rules, and margin
methodologies.
Registrations: FINRA Series 7, 63 or ability to obtain licenses.
IB is seeking an experienced network professional to join their Information
Services department. This individual will assume day-to-day responsibility
for a moderately sized data center facility, including network infrastructure
and facility operation. Located in Downtown Chicago, primary responsibilities
will include network design and configuration, routine maintenance of network
hardware and software, fault isolation and analysis in order to maintain
maximum availability. Network platforms include switches, routers, firewalls,
and storage systems. Additional responsibilities include environment systems
such as HVAC, electrical generation and distribution, and vendor communications.
Responsibilities
Design, implementation, and administration of large scale network
systems.
Implementation, maintenance and trending of LAN/WAN infrastructure.
Manage the voice and data communications connecting to remote locations
Ensure integrity of BCS
Monitor components and report/resolve issues.
Perform periodic preventative maintenance on systems.
Extensive documentation
Requirements
Bachelor’s degree in related field.
A minimum of 3 yrs experience in a network design and administration
role
In depth knowledge of Cisco products and features
Extensive experience in Cisco switching and routing technologies and
configuration
Demonstrated experience with the administration of BGP-4, EIGRP, IGMP,
and RIP
Experience with the standards and implementation of CAT3-6, Serial,
Data, Voice, Fiber
Cisco certification(s) preferred, particularly relating to advanced
troubleshooting and network architecture
Unix or Linux background a plus
PC and UNIX/Linux Server Support Experience desirable.
Interactive Brokers Group is expanding its Professional Services department
at our main retail call center in Chicago. We are searching for experienced
candidates with a prior background in the financial services industry, that
are FINRA registered for the position of Professional Services Representative.
As a liaison to Interactive Broker's (IB) retail and professional clients,
the representative is accountable for providing unparalleled client service
to IB's existing and prospective clients. This includes retail customers,
financial advisors, institutions and hedge fund operators. Our aim is
to build and maintain long-term customer relationships, provide access
to desired
markets and increase our customer retention as we expand on our product
and service offerings. The Professional Services Representative has duties
that encompass all facets of the retail business from assistance with
applications, to funds and banking issues, to trade inquiries.
Responsibilities
Problem management with focus on wide scale service issues.
Core competencies include: trade and margin analysis, account management
and funding, products
(cash market and derivatives) and global exchanges, technical
services, securities regulations.
The candidate must possess general market knowledge in futures, options,
and the equities markets. Previous customer service experience
in a financial services or banking operations environment required.
Investigate customer inquiries regarding trade-related issues (e.g.,
executions, position liquidations, order trigger conditions, trade cancellation
requests,
etc.)
Analyze existing systems and procedures in order to
recommend and assist in the implementation enhancements
Respond to inquiries, concerns and complaints from existing
and prospective customers via telephone, e-mail, and on-line chat to achieve
a solution that is mutually satisfactory while complying with policies,
practices and procedures
Assist with other tasks as assigned
Must demonstrate excellent troubleshooting and problem resolution
skills required to bring problems quickly to a resolution.
Requirements
Education: Bachelor's degree in Finance, Economics, Business
Administration or other related field. Or equivalent work experience
Experience: 2 years financial industry experience with trading or brokerage
services background preferred
Strong interpersonal and written communication skills
Working knowledge of PC technologies, to include Microsoft Word & Excel
As the New Accounts Specialist, you will assist the Compliance Officer
with the approval process of new account applications on a daily basis.
You will be responsible for processing documentation in accordance with
rules and regulations under the US Patriot Act
Cross reference multiple databases for potential undesirable client
matches
Ensure that the account opening process satisfies the client’s needs
via complete and through responses to account opening questions and concerns
Correspond with clients, sale representatives and customer service
representatives
Follow internal policy and procedures when dealing with any account-related
suspicious activity
Qualifications
BS or BA required
2 - 3 years comparable experience preferred
Registrations: FINRA Series 7, 55, 63 a plus
PC Skills – Word, Advanced Excel
· Programming and/or UNIX experience optimal, and/or databases (SQL) is helpful
Excellent communication (oral & written) skills
Fluency in foreign languages are a plus, especially Mandarin, Japanese,
German and Spanish
Analytical skills
Attributes
Extremely hard working, Strong customer service focus, Excellent oral
and written communication abilities, Detail-oriented, Quick Learner, Superior
listening skills, Good problem solver, Decision-making ability, Good communications
and presentations skills, Strong analytical talent, and Excellent coordination
and teamwork.
Interactive Brokers Group LLC, a Global Securities and Commodities business leader
and top-16 US Broker-Dealer (BD) / Futures Commission Merchant (FCM) has
an immediate need for a Compliance Analyst in our Chicago office.
The ideal candidate has at least 4 years experience with an SRO, Broker
Dealer or FCM, with a minimum 2 years experience within the Compliance
Department. Other acceptable experience is internal audit, legal or a
control function of a SRO, BD or FCM.
Responsibilities
Surveillance Report review and memorialization
Regulatory Filings
Assistance with Anti Money Laundering Program
Fraud Monitoring
Developing knowledge about firm processes
Requirements
All applicants must have a strong trading background with the ability
to understand and breakdown complex trading strategies. A college degree
is required. Acceptable majors include Finance, Accounting, Law or Information
Systems. Knowledge of the SRO, BD and/or FCM environment, and equities
and equity-linked products is key. High proficiency with desktop applications
and MS Office suite of products is required. Knowledge of UNIX, SQL, Perl
is a plus. Candidate must be comfortable working in an automated, hands-on
environment. Excellent written and oral communication skill sets are important
prerequisites. Please include your compensation requirements in your resume.
Institutional Brokerage
Sales: Interactive Brokers LLC is looking to add a Sales Representative
in our Chicago location.
This person will drive new account acquisition process for institutional
clients, from the identification of prospective clients to relationship
management once in production; the applicant should be prepared to see
the process through from inception to completion.
The applicant should be a college graduate well versed in the US equity
and futures markets, with 5 years of experience in the industry. A skill
set that includes electronic trading and selling to the hedge fund community
is a plus. Previous sales responsibilities are preferred.
Interactive Brokers Group LLC, a Global Securities and Commodities business leader and one of the largest financial services firms in the U.S. has an immediate need for a Compliance Associate in our Chicago office. This position has excellent growth potential for highly motivated and exceptional performers.
The ideal candidate has at least 1-2 years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Other acceptable experience would include internal audit, legal, accounting or other control function of a financial services firm or regulator.
In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials (top schools) who have some background in law, accounting, computer science or similar areas with strong analytical and quantitative skills.
Responsibilities
Investigating factual and regulatory rule background behind client trading and financial activity
Preparing and drafting regulatory correspondence
Creating, reviewing and following up on surveillance reports of financial and trading activity
Preparing regulatory filings
Assisting with Anti-Money Laundering Program
Developing knowledge about the firm’s computer systems and trading processes
Requirements
Applicants should be detail-oriented with the ability to understand regulatory rules and client financial activity and trading strategies. A college degree with strong grades is required. Acceptable majors include Finance, Accounting, Law, Computer Science or Information Systems. High proficiency with desktop applications and MS Office suite of products is required. Knowledge of UNIX, SQL, Perl is a plus. Candidate must be comfortable working in an automated, hands-on environment. Excellent written and oral communication skill sets are important prerequisites. Please include your compensation requirements in your resume.
Securities & Commodities Attorney (Jr to Mid-Level)
The Interactive Brokers Group has an immediate need for a junior to mid-level
attorney for the office of its General Counsel in Washington, D.C.
Responsibilities
Researching, interpreting and advising the firm regarding compliance
with the laws, regulations and guidance applicable to broker-dealers
and futures commission merchants
Drafting and implementing firm policies and written supervisory procedures
Providing timely responses to regulatory requests for information and
documentation
Developing and implementing remedial action plans in response to internal
and external audit findings
Drafting legal agreements, disclosures, new account documentation and
website materials
Representing the firm in arbitration proceedings
Tracking legal developments in the financial services industry
Providing on-going training and guidance to compliance and operational
personnel on relevant regulatory requirements
Required Qualifications and Skills
Strong academic performance
1-5 years post-J.D. experience as a practicing attorney in either a
law firm, regulatory, self-regulatory, exchange or financial industry legal
or compliance department environment
Member in good standing of the bar of any U.S. state or the District
of Columbia
Outstanding oral and written communication skills
Exceptional legal research capability
Demonstrated ability to identify and analyze legal issues and interpret
complex statutes and regulations
Ability to develop compliance solutions that satisfy relevant regulations
while executing sound business judgment
Organized and detail-oriented
Ability to work independently and to multi-task with minimal supervision
Effective time management skills and sensitivity to deadlines
Preferred Qualifications: The ideal candidate
will possess one or more of the following:
Experience in financial industry (SEC, CFTC, FINRA, NFA) regulation
and/or litigation, especially anti-money laundering regulation
Familiarity with securities, futures, options and other financial products
Familiarity with securities and futures trading strategies
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