Financial Regulation - Head of Client Asset Oversight Financial Regulation - Head of Client Asset  …

Interactive Brokers Group
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 22 Jul 20
0
Interactive Brokers Group
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 22 Jul 20
0
We are seeking an experienced regulatory manager to be the Head of Client Asset Oversight (HCAO) of this investment firm. The candidate will be responsible for the protection of client assets under the Central Bank of Ireland’s (CBI) Client Asset Regulations. This person will be the Company’s PCF-45 and report to the Head of Finance.

The Interactive Brokers Group is one of the leading global brokers with a well-established technology driven culture.  We have selected Dublin, Ireland as the future headquarters for our European business and are seeking bright, motivated, entrepreneurial people to help launch what we expect to be one of the Group’s leading operations.

Head of Client Asset Oversight

Job Description:

We are seeking an experienced regulatory manager to be the Head of Client Asset Oversight (HCAO) of this investment firm. The candidate will be responsible for the protection of client assets under the Central Bank of Ireland’s (CBI) Client Asset Regulations. This person will be the Company’s PCF-45 and report to the Head of Finance.

Key Responsibilities:

  • Design, monitor, control and report the safeguarding of client assets in accordance with the Client Asset Regulations and CBI requirements.
  • Develop, coordinate and maintain the client asset management plan (CAMP)
  • Responsible to be the subject matter expert on client asset regulations to advise management on new business or products.
  • Review and approval of the daily client asset calculation and reconciliations.
  • Maintain a strong understanding of existing regulations, of upcoming developments and best practice covering client asset regulation.
  • Prepare all required CBI client asset related returns.
  • Member of the client asset internal management committee.
  • Researching the client asset impact of new products, services and markets.
  • Creating functional business requirements for enhancements to existing financial, regulatory and operational systems.
  • Planning, coordinating and managing audits and the annual client asset examination.

 Qualifications & Experience:

  • University degree
  • 8+ years of work experience
  • Ideal candidate is an existing HCAO in the role of PCF-45 at a CBI registered investment firm
  • Extensive experience at a MiFID investment firm in a regulatory finance role


Company Profile:

Interactive Brokers Ireland Limited, 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, Singapore and Australia.

Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

Click HERE to view a short video with a few words from current Interactive Brokers employees.

For more information, please visit www.ibkr.com/info

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