Solving client complaints using both in-house tools as well as external sources & Provide clear and concise summaries of issues.
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
Compensation & Benefits
- Competitive salary commensurate with qualifications and experience.
- Compensation is composed of salary and a discretionary annual cash bonus and share grants.
- Excellent health benefits.