Compliance Assistant Manager / Manager

Responsibilities

Interactive Brokers is looking to hire a Compliance Manager / Assistant Manager (Core Compliance) based in Hong Kong for the APAC region (Singapore, Australia, and Hong Kong). The position will report regionally to the Head of Core Compliance (APAC) based in Singapore. The main responsibilities for this role include:

• Liaising and communicating with regulators
• 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
• 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.

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 & Perks