Core Compliance Manager

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