Assistant Manager / Manager - Conduct & Compliance Assurance

Job Description

Interactive Brokers is seeking a detail-oriented and collaborative compliance professional for an Assistant Manager/Manager role in Conduct & Compliance Assurance. The role is based in Kwun Tong, Hong Kong SAR. The candidate will assist in the design and delivery of the internal conduct and compliance assurance program. This involves implementing internal compliance and conducting uplift initiatives, performing compliance reviews, managing APAC staff training, and supporting senior team members in delivering compliance assurance across IBKR APAC entities.

• Performing and improving compliance review processes.
• Collaborating with APAC Compliance, HR, and other teams to monitor internal staff conduct.
• Designing, developing, and delivering localized compliance and conduct training.
• Supporting senior team members in delivering compliance assurance, documentation, and advisory services.

Requirements:

• 3+ years of financial services industry experience.
• Familiarity with the regulatory environment.
• Experience performing compliance reviews or controls testing.
• Fluency in English (written and spoken).
• Chinese language skills are well-regarded.
• Excellent communication and stakeholder management skills.
• Strong analytical and problem-solving skills.
• Solid academic background.
• "Can do" attitude and willingness to learn.
• Good organizational skills and ability to multi-task.
• Comfort and fluency with computers and technology.

Interactive Brokers Offers:

• Competitive salary, annual performance-based bonus, and stock grant.
• Excellent health and welfare benefits.
• 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
• Opportunities for career progression and job scope expansion.
• Hybrid work arrangement role permitting