Chief Compliance Officer Chief Compliance Officer …

Interactive Brokers
à Budapest, Budapest, Hongrie
CDI, Plein-temps
Dernière candidature, 03 août 20
Interactive Brokers
à Budapest, Budapest, Hongrie
CDI, Plein-temps
Dernière candidature, 03 août 20
Chief Compliance Officer
Current Role:
We are seeking an experienced compliance professional to serve as Chief Compliance Officer (Compliance Director) of our new Budapest-based affiliate office.
The Compliance Director will be responsible for overseeing our new Hungarian affiliate's Compliance Program and engaging with the Central Bank of Hungary in relation to compliance matters.
This includes ensuring that there is a comprehensive compliance plan, compliance policies and procedures, and detailed compliance monitoring program to cover all of IBKR's regulatory obligations, including MAR, fitness and probity, MiFID/R and EU securities law requirements.
The Compliance Director will also be responsible for overseeing the firm's anti-money laundering systems and controls and supervising the implementation of a financial crime program. This role will report to local management and IBG's Global Chief Regulatory Officer.
Your Responsibilities:
  • Build, develop and manage a high-performing team of Compliance professionals, aligned to the Group Compliance strategy and initiatives, who will ensure that local regulatory requirements are addressed
  • Draft and implement firm policies, controls and written supervisory procedures
  • Develop training programs to educate employees on compliance issues
  • Handle contacts with the firm's regulators or other competent authorities, and ensure that the firm meets all regulatory reporting requirements and makes appropriate and timely responses to all regulatory inquiries
  • Craft detailed written instructions for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines
  • Develop and implement remedial action plans in response to internal and external audit findings
  • Ensure the adequacy and execution of Suspicious Activity Reporting procedures related to AML and Market Abuse
  • Ensure that the execution of the AML and trade surveillance program in line with SLAs and MNB regulations and expectations, whether through local staff or outsourced arrangements with the firm's affiliates
  • To perform periodic Compliance and AML risk assessments of the business and communicating the results to senior management
  • Periodically report to the board and senior management regarding the design and status of the compliance and financial crime programs, including any breaches and identified control weaknesses
Your Experience and Qualifications:
  • 5-10 years Compliance/Regulatory experience at a senior level, in a regulated financial services business (preferably in the investment services/markets space)
  • A minimum of 3 years people/team management
  • Demonstrated experience dealing with financial services regulators
  • A University degree, preferably in accounting, law, technology or finance
  • Solid knowledge of regulatory expectations and AML requirements
  • Excellent knowledge of European equity and derivative trading rules, including best execution, market abuse detection and reporting and algorithmic trading controls and governance
  • High degree of comfort with computers and technology and understanding of how technology is applied to business and regulatory problems
  • Excellent oral and written communication skills (English and Hungarian are a must; any other language is a plus)
  • Ability to work in a dynamic, medium-size office environment
  • Candidates must have an EU passport or a qualifying work permit/residency to work in Hungary and must meet the minimum requirements under Central Bank of Hungary fitness and probity regime
Company Profile: Interactive Brokers a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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