Core Compliance Manager

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

Own core compliance for brokers across Hong Kong, Singapore, and Australia. You’ll liaise with regulators, draft written responses to regulatory enquiries, and manage regulatory inspections and audit reviews, including remedial action plans. The role also involves researching and interpreting applicable laws and guidance, advising the firm on compliance, and drafting and implementing regulatory policies and procedures. Reporting to the APAC Regulatory Correspondence team lead.

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FursaFursa
Interactive Brokers Group
Interactive Brokers Group
1 month ago

Core Compliance Manager

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Source: Company careers pageValidated by: Fursa AI
Last checked: 6 days agoStatus: Live

Job Summary

Own core compliance for brokers across Hong Kong, Singapore, and Australia. You’ll liaise with regulators, draft written responses to regulatory enquiries, and manage regulatory inspections and audit reviews, including remedial action plans. The role also involves researching and interpreting applicable laws and guidance, advising the firm on compliance, and drafting and implementing regulatory policies and procedures. Reporting to the APAC Regulatory Correspondence team lead.
Location: Hong Kong
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Manager level

Key Responsibilities

  • •Liaise and communicate with regulators for APAC core compliance matters.
  • •Prepare written responses to regulatory enquiries.
  • •Manage regulatory inspection and audit reviews, including developing and implementing remedial action plans to address 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

Equity and Bonus:Equity
Perks:Health InsuranceDentalAnnual LeaveEquityWork-life BalanceMeal Allowance

Key Requirements

  • •Proven experience and a track record at a financial services regulatory agency, exchange, or licensed financial services firm.
  • •Familiarity with Hong Kong or regional regulatory requirements for brokers.
  • •Strong analytical and organizational skills, with the ability to prioritize and work independently in a fast-paced environment.
  • •Excellent oral and written communication skills, including drafting clear written responses to regulatory enquiries.
  • •Ability to develop compliance solutions that meet regulatory requirements while applying sound business judgment.
Experience:Financial servicesRegulatory complianceBrokersAPAC
Skills:Analytical skillsOrganizational skillsIndependent workCommunicationCollaboration
Tech Stack:ComputersTechnology

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