Interactive Brokers Hong Kong Limited (IBHK) is expanding its Risk Assessment Team (RA) within the New Accounts Department at our Hong Kong office. We are searching for candidates with prior experience in the financial services industry, with extraordinary attention to detail, and strong communication skills. The RA department is a liaison to Interactive Brokers’ retail and professional clients.
The IBHK RA is accountable for providing high quality review of Anti Money Laundering (AML), Know Your Customer (KYC), sanctioning and Politically Exposed Persons (PEP) issues for retail customers, financial advisors, hedge fund operators and other broker-dealers. The aim is to facilitate the client onboarding process by providing regulatory and compliance guidance while building and maintaining long-term customer relationships as we expand our global service offerings.
- Perform Enhanced Due Diligence (EDD) review on Individual and Corporate applications in accordance with policies and desktop procedures; identify and escalate potential AML risks;
- Analyze and verify source of funds/wealth information through public domain or documentation;
- Investigate and process alerts from multiple queues, sourcing information as appropriate from external sources and/or internal personnel to investigate and process alerts effectively;
- Evaluate and resolve negative news and/or red flags or potential PEP matches escalated by other New Account Teams;
- Run checks in the Offshore Leaks Database and conduct public domain searches for negative information related to applicants and associated entities;
- Provide advice on issues and escalations to other New Accounts Teams to address difficult applications and independently recommend risk-based decisions to AML;
- Responsible for timely escalations of suspected financial crime to AML; and
- Work closely with other New Account teams and AML to ensure all financial crime risks are reviewed and evaluated.
Qualifications & Skillets:
- Bachelor's degree;
- Experience: 2-3 years in Customer Service and/or Financial Service preferred. Fresh graduates with a Finance, Law, Accounting, or Information Systems, etc. who are motivated and demonstrate the right aptitude will also be considered;
- Minimum of 2 years’ experience and familiarity, preferably gained in brokerage or corporate banking environment, with on-boarding or reviewing high risk client relationships and carrying out EDD;
- Excellent written and oral communication skills in English and Cantonese; Mandarin is advantageous;
- Strong research, investigatory, and problem-solving skills;
- Ability to make risk-based recommendations and articulate those persuasively to other departments;
- Able to multitask various projects and firm initiatives;
- Prior experience in a highly automated environment and/or high degree of comfort with computers and technology;
- Intermediate experience with MS Outlook, MS Word, and MS Excel; and
- Ability to work and thrive in a fast-paced medium-size office environment.
- Ability to identify, analyze, and escalate complex issues;
- Excellent troubleshooting and problem resolution skills;
- Taking personal responsibility for identifying client needs while providing a high value experience;
- Efficient, self-motivated and hard working; and
- Being to be able to multitask in a pressured environment.
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.
Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899