For Recruiters

Assistant Manager/Analyst- Compliance Conduct & Assurance

Interactive Brokers Hong Kong Ltd.
Hong Kong
Posted 5 days ago Hybrid Permanent Open
O
Posted by
Omkar Dalvi
Recruiter

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 headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, 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.

Responsibilities: 

The successful candidate will be required to:

  • Lead and contribute to assurance reviews across the APAC region and manage effective relationships with key stakeholders.
  • Assist the APAC Compliance team by conducting thematic and/or targeted reviews in relation to matters of priority for our regulators in the Asian time zones and/or matters of priority for global and regional Compliance management.
  • Support the design and execution of assurance activities, ensuring that all relevant standards, policies and procedures are met.
  • Build strong relationships with all internal stakeholders, adopting a cohesive approach to the execution of tasks with minimum conflict.
  • Provide subject matter expertise and advice to colleagues, supporting the development of appropriate review frameworks and the delivery of assurance activities.
  • Provide stakeholders with timely and concise insight into assurance activities.
  • Escalate significant control deficiencies in a timely manner

 

Required Qualifications and Skills:

 

  • 3-6 years’ relevant experience in similar role.
  • Fluency in English, Cantonese and Mandarin (both written and spoken) is essential.
  • Have a “can do” attitude and is willing to learn and take on new tasks as role develops.
  • Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment.
  • Proficiency with computers, basic office applications and basic database tools.
  • Ability to work independently in a small-team environment.
  • Ability to articulate and explain complex issues in relatively simple terms.
  • Ability to multi-task, prioritize and work with minimal supervision.

 

This position is only open to candidates who are eligible to work in Hong Kong.

Job ID  0c7bb6d72us
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