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- Tasks: Join our Compliance team to design and maintain testing programmes for regulatory areas.
- Company: Interactive Brokers (U.K.) Limited is a leading global online financial brokerage based in London.
- Benefits: Enjoy hybrid working, daily lunches, performance bonuses, and health insurance options.
- Why this job: Be part of a dynamic team tackling regulatory challenges while developing your skills in a fast-paced environment.
- Qualifications: Bachelor’s degree and 3+ years in regulatory compliance or audit required; strong analytical skills essential.
- Other info: Work in a vibrant London office with a supportive culture focused on personal and professional growth.
The predicted salary is between 36000 - 60000 £ per year.
The role…
Interactive Brokers (U.K.) Limited, based in London, part of IBKR global online financial brokerage services, seeks a generalist compliance professional to join our fast-paced business in a complex operating environment. You will hit the ground running from the start, so we expect you to have relevant experience and a can-do attitude to relish the challenge and pace in helping the business.
You will join a dedicated regulatory team in the Compliance department, which looks after multiple aspects of internal, market conduct, and consumer protection Compliance, including any associated second-line controls, and manages advisory and regulatory change projects. Your particular focus will be to design and maintain testing and monitoring programmes for each relevant regulatory area (financial promotions, product governance or others depending on your experience). In a dynamic and complex environment with growing regulatory challenges and product and process innovations, your role will require addressing regulatory change by identifying required systems and controls adaptations.
Your responsibilities are separate from anti-money laundering (AML) related tasks, as a different monitoring plan covers these. In your role, you will work with other General Compliance team members at the Pan-European level, other Compliance teams and other subject matter experts and stakeholders, providing an excellent opportunity for personal and professional development. This role will report to the Senior Compliance Officer heading the General Compliance team.
We currently operate a hybrid working model at IBKR, so you can commute to our fantastic central London office three days per week, where you will be pleased to hear we offer lunch every day you are in the office from a selection of vendors.
You will ….
You have and bring…
Location:
20 Fenchurch St, London EC3M 8AF
9 am – 6 pm, Monday – Friday
Benefits:
Interactive Brokers (UK) values in promoting, monitoring, implementing best practices, policies and procedures and culture in adhering to and promoting the FCA Consumer Duty with the organisation.
Compliance Monitoring Manager employer: Interactive Brokers
Contact Detail:
Interactive Brokers Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager
✨Tip Number 1
Familiarise yourself with the specific regulatory frameworks mentioned in the job description, such as MiFID II and FCA Handbook. Understanding these regulations will not only help you during interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in investment or platform-based environments. Engaging with industry peers can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Showcase your analytical and problem-solving skills by preparing examples of how you've successfully navigated complex compliance issues in the past. Be ready to discuss these scenarios in detail during your interview.
✨Tip Number 4
Research Interactive Brokers (UK) and their approach to compliance and regulatory challenges. Tailoring your understanding of their business model and compliance culture will help you stand out as a candidate who is genuinely interested in the company.
We think you need these skills to ace Compliance Monitoring Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in regulatory compliance, particularly in areas like General Compliance or Investment Compliance. Use specific examples that demonstrate your analytical skills and problem-solving abilities.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your background aligns with the responsibilities outlined in the job description, such as designing testing and monitoring programmes.
Highlight Relevant Skills: Emphasise your knowledge of the applicable regulatory framework and your comfort with technology. Make sure to mention your strong Excel skills and any experience you have with compliance-related policies.
Showcase Team Collaboration: Since the role requires working with various stakeholders, include examples of how you've successfully collaborated with teams in the past. This will demonstrate your ability to build strong relationships and achieve results.
How to prepare for a job interview at Interactive Brokers
✨Know Your Regulations
Familiarise yourself with the key regulatory frameworks mentioned in the job description, such as MiFID II, FCA Handbook, and Consumer Duty. Be prepared to discuss how these regulations impact compliance monitoring and your previous experiences related to them.
✨Demonstrate Analytical Skills
Prepare examples that showcase your analytical and problem-solving abilities. Think of situations where you identified compliance gaps or improved processes, and be ready to explain your thought process and the outcomes.
✨Showcase Team Collaboration
Highlight your experience working in teams, especially in a compliance context. Discuss how you've built relationships with colleagues and stakeholders to achieve compliance goals, as this role requires effective collaboration across various teams.
✨Be Tech-Savvy
Since the role requires a high degree of comfort with technology, particularly Excel, be prepared to discuss your technical skills. You might even want to mention any tools or software you've used for compliance monitoring and reporting.
