Job Description & Responsibilities
Interactive Brokers is looking to hire a Compliance Analyst for the APAC region, the position will report regionally to the Compliance Manager in Hong Kong and locally to the Head of Compliance in Australia.
The main responsibilities for this role include:
- Act as the liaison person to interact with regulators and other financial services regulatory agencies for IBKR Australia;
- Assist in the coordination of regulatory inspections, self-assessments and regulatory surveys for IBKR’s APAC entities to ensure timely and quality submissions
- Assist in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for IBKR’s APAC entities;
- Keep abreast of new regulations and updates and disseminate regulatory notices, circulars, and other regulatory developments to management, compliance teams within APAC region and relevant stakeholders;
- Assist in monitor progress of remediation exercise to ensure completeness;
- Assist in the co-ordination and handling of Compliance related requests from internal and external auditors for IBKR entities in the APAC region.
Qualification, Skills & Attributes
- University qualification in a relevant discipline - law degree preferred;
- Familiarity with the regulatory process, rules and codes related to Australia, Hong Kong, and Singapore;
- Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
- 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.
- Good Microsoft office skills (i.e. Word, Excel and PowerPoint).
- Ability to work in a small-team environment and to multi-task with minimal supervisory;
- A “can do” attitude with a willingness to learn.
Interactive Brokers ("IBKR"), 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, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.
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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For more information, please visit www.ibkr.com/info