Compliance Manager Compliance Manager …

Interactive Brokers
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 05 Jun 20
Interactive Brokers
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 05 Jun 20
Compliance Manager
Job Description & Requirements
IBSG's Compliance Manager will report directly to IBSG CEO and functionally to IBKR's Director of Legal & Compliance, Asia Pacific.
The Compliance Manager will be responsible for the firm's day-to-day compliance operations in Singapore, including:
  • Acting as the firm's point of contact with the MAS, exchanges and other regulatory bodies;
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
  • Designing procedures for complying with MAS and exchange requirements for all regulated activities;
  • Drafting and implementing firm policies and written supervisory procedures;
  • Management of regulatory inspections and audits (both internal and external), and developing/implementing the relevant remedial action plans to address any findings;
  • Crafting written instructions for programmers and technology staff in light of new regulations or to launch new business lines;
  • Gather information and prepare written responses to enquiries from MAS, exchanges and other regulatory bodies and law enforcement agencies.

  • Must be a self-starter with strong analytical skills and able the ability to work at a fast pace;
  • Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-pace working environment;
  • The ability to manage a team and take ownership of projects and tasks with minimal supervision;
  • Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
  • Familiarity with the Hong Kong regulatory process, rules and codes;
  • A "can do" attitude with a willingness to learn;
  • Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance and compliance;
  • Fluency in English (both written and spoken) is essential.

Company Overview
Interactive Broker 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 employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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