AML Compliance Specialist

4 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Interactive Brokers Full time

Job Summary

We are seeking a highly skilled AML Compliance Specialist to join our team at Interactive Brokers. The ideal candidate will have a strong background in regulatory compliance and experience working with AML programs.

Key Responsibilities

  • Conduct ongoing review and analysis of enterprise clients' AML programs and transactions in accordance with established procedures.
  • Open to travel; complete and attend AML site visits in the APAC region.
  • Conduct AML interviews with external Compliance Officers/AML Officers.
  • Advise management by collecting, analyzing, and summarizing data and trends with ibroker client relationships.
  • Maintain accurate tracking of assignments and requests for documentation to ensure appropriate deadlines are met.
  • Complete detailed AML program assessments of ibroker clients.

Qualifications

The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM), a Bank, or a similar organization. Alternatively, experience in internal audit, legal, accounting, or other control functions of a financial services firm or regulator would be beneficial.

The ideal candidate will have previous exposure to and in-depth knowledge of downstream payments and corresponding banking, nesting, or omnibus account structures.

Absent direct industry experience, we will also consider applicants with excellent bachelor's-level educational credentials who have some background in law, accounting, data analytics, or similar areas and strong analytical and quantitative skills.

Preferred Qualifications

  • High comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.
  • Strong understanding of the inner workings of robust AML programs.
  • Excellent oral and written communication skills.
  • Detail-oriented with outstanding organizational and project management skills.
  • Ability to work independently and in a small-team environment and to multi-task with minimal supervision.
  • ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus.
  • Capital markets experience.
  • Language skills: English (required), Mandarin and Cantonese (preferred).
  • Passport for travel.

Company Benefits & Perks

  • Competitive Salary, annual performance-based bonus, and stock grant.
  • Excellent health and welfare benefits, including medical, dental, specialist, and in-patient.
  • 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.
  • Unique opportunity to gain exposure to global financial products, markets, and clientele.
  • Opportunities for career progression and job scope expansion in a global company with a growing local presence.
  • Hybrid work arrangement role permitting.

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