Compliance-APAC - Core Compliance Manager / Analyst

Interactive Brokers Group
Hong Kong
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceSkills: ["Communication","Analytical skills","Organizational skills","Independent work","Collaboration"]

Serve as a core compliance analyst for APAC regulatory correspondence, supporting the Team Leader by liaising with regulators and preparing written responses to regulatory enquiries. Manage regulatory inspections and audits, including remediation plan development and execution. Research and interpret compliance obligations across Hong Kong, Singapore, and Australia, and draft or implement policies and procedures to meet regulatory requirements. Work in a collaborative, small-team environment.

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FursaFursa
Interactive Brokers Group
Interactive Brokers Group
2 months ago

Compliance-APAC - Core Compliance Manager / Analyst

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Source: Company careers pageValidated by: Fursa AI
Last checked: 5 days agoStatus: Live

Job Summary

Serve as a core compliance analyst for APAC regulatory correspondence, supporting the Team Leader by liaising with regulators and preparing written responses to regulatory enquiries. Manage regulatory inspections and audits, including remediation plan development and execution. Research and interpret compliance obligations across Hong Kong, Singapore, and Australia, and draft or implement policies and procedures to meet regulatory requirements. Work in a collaborative, small-team environment.
Location: Hong Kong
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Liaise and communicate with regulators for APAC regulatory correspondence.
  • •Prepare written responses to regulatory enquiries.
  • •Manage regulatory inspection and audit reviews, including developing and implementing remedial action plans for findings.
  • •Research, interpret, and advise the firm on compliance with applicable laws, regulations, and guidance for brokers in Hong Kong, Singapore, and Australia.
  • •Draft and implement policies and procedures to comply with regulatory requirements.

Pay and Benefits

Perks:Health InsuranceDentalAnnual LeaveAnnual BonusEquity

Key Requirements

  • •Proven experience and a track record at a financial services regulatory agency, exchange, or licensed financial services firm.
  • •Strong analytical and organizational skills, able to prioritize and work independently in a dynamic environment.
  • •Excellent oral and written communication skills, with the ability to develop compliance solutions that satisfy regulations and business judgment.
  • •Familiarity with Hong Kong or regional regulatory requirements applicable to brokers.
  • •Comfort with computers and technology and how they apply to business and regulatory problems.
Experience:Financial servicesBrokerageRegulatory compliance
Skills:CommunicationAnalytical skillsOrganizational skillsIndependent workCollaboration

Company Brief

Interactive Brokers Group
Operates an electronic trading platform providing brokerage services for individuals and institutions across global markets, offering equities, options, futures, forex, bonds, and related clearing and custody services with advanced trading technology and low-cost executions.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Greenwich, United States
Founded: 1977
WebsiteLinkedIn