Compliance Assistant Manager/Analyst

Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Russia, Singapore, Switzerland and United Kingdom.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

Overview:

Interactive Brokers is seeking an individual that is hard-working, detail-oriented, a quick learner, careful, and a problem solver.  This position requires excellent time management, eagerness to learn and a strong customer focus.

Responsibilities:

• Assist the group Compliance with conducting compliance reviews and/or regulatory enquiries related to clients in the Asian time zone.
• Perform internal monitoring of adherence to internal and regulatory requirements
• Support with regulatory, audit, and similar queries and inspections
• Assist with the maintenance of policies and procedures
• Perform ad hoc general Compliance administration tasks as required

Required Qualifications and Skills:

• 1-3 years’ relevant experience in similar role.
• Fluency in English, Cantonese and Mandarin (both written and spoken) is Essential.
• Have a “can do” attitude and is willing to learn and take on new tasks as role develops.
• Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment.
• Proficiency with computers, basic office applications and basic database tools.
• Ability to work independently in a small-team environment.
• Ability to articulate and explain complex issues in relatively simple terms.
• Ability to multi-task, prioritize and work with minimal supervision.