The Internal Auditor will perform Compliance, Financial, Operational and Information System audits for the purpose of determining the accuracy of financial records, effectiveness of prudent business practices, and compliance with policies, procedures, and regulations.
Conduct audits to assess compliance with firm policies and regulatory requirements.
Design and run queries, mainly via Microsoft Access, to obtain data necessary for performing audits and other projects
Identify/implement automation opportunities to enhance compliance and efficiencies of the business as a whole.
Develop process knowledge and identify risk areas for assigned audit projects;
Keep abreast with various laws/regulations applicable for a global broker/dealer;
Support firm’s unclaimed property compliance initiatives. This involves aiding firm’s unclaimed property identification and reporting tasks to ensure compliance with global unclaimed property laws.
Develop specifications to automate the audit, unclaimed property and confirmation tasks, wherever possible.
The desired candidate will have 3-5 years’ business experience preferably with exposure to auditing and/or programming along with knowledge of Hong Kong SFC regulations. Candidate must be comfortable working in an automated hands-on environment. Ideal candidate would be inquisitive, quick learner, detail oriented, have good organizational skills, and capable of performing data analytical tasks. Fluency in written and oral English is also required.
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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