Assistant Manager / Manager - Conduct & Compliance Assurance

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Role Overview: 

Interactive Brokers is seeking a compliance professional (assistant manager or manager level) who is hard-working, detail-oriented, collaborative and a problem solver to assist with the design and delivery of the internal conduct and compliance assurance program. This role will assist in implementing internal compliance and conducting uplift initiatives, end-to-end performance of compliance reviews and compliance monitoring activities and managing APAC staff training. This role requires a proactive approach and willingness to learn new skills in a dynamic environment.

 Responsibilities: 

The role has regional responsibility and will involve:

• Compliance reviews - performing and improving compliance review processes and managing the associated workload.
• Internal staff conduct - collaborate with APAC Compliance, HR, and other teams to monitor internal staff conduct and enhance the documentation of internal staff conduct requirements within local APAC policies or as an extension of the Group policies.
• Staff Training - design, develop and deliver localized compliance and conduct training in collaboration with local and Global Training teams.
• Support senior team members in delivering compliance assurance, documentation and advisory services across IBKR APAC entities (IBHK, IBSG, IBAU)

 Required Knowledge, Skills and Experience:

• 3+ years of financial services industry or related relevant work experience.
• Familiarity with the regulatory environment that applies to the Financial Services industry.
• Experience performing compliance reviews, controls testing or similar assurance activities.
• Fluency in English (both written and spoken) is essential. Chinese language skills are also well-regarded.
• Excellent verbal and written communication skills.
• Strong stakeholder management skills, with the ability to engage with stakeholders at various levels.
• Good quantitative, analytical, and problem-solving skills.
• Solid academic background with relevant qualifications.
• Have a "can do" attitude and willingness to learn.
• Good organizational skills with the ability to multi-task, prioritize and work with minimal supervision.
• A high degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly.

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits, including medical, dental, specialist and in-patient  
• Competitive package of Annual Leave
• Daily lunch is ordered in-house with a fully stocked kitchen
• Modern offices with multi-monitor setups
• 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