Compliance Assistant Manager / Manager

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Responsibilities

Interactive Brokers is looking to hire a Compliance Manager / Assistant Manager (Core Compliance) based in Hong Kong for the APAC region (Singapore, Australia, and Hong Kong). The position will report regionally to the Head of Core Compliance (APAC) based in Singapore. The main responsibilities for this role include:

• Liaising and communicating with regulators


• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in Hong Kong, Singapore, Australia;


• Drafting and implementing policies and procedures to comply with regulatory requirements


• Preparing written responses to regulatory enquiries


• Managing relevant regulatory inspection and audit reviews, including developing and implementing the relevant remedial action plans to address any findings.

Required Qualifications and Skills:

• Must be a self-starter with strong analytical skills;


• Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment;


• Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.


• Excellent oral and written communication skills.


• Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.


• Ability to work in a small-team environment and collaboratively.


• Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;


• Familiarity with the Hong Kong or regional regulatory requirements;


• A “can do” attitude with a willingness to learn.

Company Benefits & Perks