Director / Associate Director – Core Compliance

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.

Responsibilities

Reporting to the Head of Core Compliance-APAC, the Compliance Director / Associate Director (Singapore) is expected to oversee the Singapore compliance function and advise on all Singapore-related compliance and regulatory matters, including:

• Act as the primary liaison to the MAS, exchanges and other regulatory bodies;
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in Singapore;
• Managing the implementation or upkeep of strategies and frameworks for complying with MAS and exchange requirements for all regulated activities;
• Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulatory reasons;
• Drafting and implementing firm policies and written supervisory procedures;
• Managing all relevant regulatory inspection and audit reviews (both internal and external), 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-paced 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 collaboratively and in a small team environment.
• Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
• Familiarity with the Singapore regulatory requirements;
• A “can-do” attitude with a willingness to learn.

Company Benefits & Perks