Core Compliance Manager

Job description

About the Company Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.

For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers. Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets.

Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.

Responsibilities

Interactive Brokers is looking to hire a Compliance Manager / Analyst (Core Compliance) based in Hong Kong for the APAC region (Singapore, Australia, and Hong Kong). The position will report to the Team Leader of APAC Regulatory Correspondence.

The main responsibilities for this role include:

• Liaising and communicating with regulators
• 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.
• 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 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

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and inpatient
• Competitive package of Annual Leave
• Daily lunch ordered in-house with a fully stocked kitchen
• 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 a growing local presence
• Hybrid work arrangement role permitting