Job Description & Responsibilities
Interactive Brokers is looking to hire a Compliance Manager / Analyst for the APAC region in Hong Kong. The position will report to the Director of Regulatory Correspondence, APAC.
The primary responsibilities for this role include:
- Act as the liaison person to interact with regulators and other financial services regulatory agencies;
- Assist in coordinating regulatory inspections, self-assessments and regulatory surveys for 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 the APAC region and relevant stakeholders.
- Assist in coordinating and handling 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 in Hong Kong and knowledge of other jurisdictions in the APAC region, such as Australia and Singapore, is beneficial.
- 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 understand 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.
Location of Employment
- Hong Kong
Company Benefits & Perks
- Competitive Salary, annual performance-based bonus and stock grant
- Excellent health and welfare benefits including medical, dental, specialist and in-patient
- Competitive package of Annual Leave
- Daily lunch ordered in house with fully stocked kitchen
- Modern offices with multi-monitor setups
- Great work life balance
- Unique opportunity to gain exposure to global financial products, markets and clientele
- Opportunities for career progression and job scope expansion in a global company with growing local presence
- Hybrid work arrangement role permitting.
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