Compliance Officer

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China Interactive Brokers Full time
Job Title: Head of Compliance Hong Kong

At Interactive Brokers, we are seeking a highly skilled and experienced Head of Compliance Hong Kong to join our team. As a key member of our compliance function, you will be responsible for overseeing and advising on all Hong Kong-related compliance and regulatory matters.

Key Responsibilities:
  • Act as the primary liaison to the SFC exchanges and other regulatory bodies, ensuring effective communication and compliance with regulatory requirements.
  • Research, interpret, and advise the firm on compliance with laws, regulations, and guidance applicable to brokers in the region.
  • Manage the implementation or upkeep of strategies and frameworks for complying with SFC and exchange requirements for all regulated activities.
  • Assist in crafting written instructions for programmers and technology staff to facilitate changes required due to regulatory changes or other regulatory reasons.
  • Draft and implement firm policies and written supervisory procedures.
  • Manage all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing remedial action plans to address any findings.
Requirements:
  • Must be a self-starter with strong analytical skills and able to work collaboratively.
  • Superior organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment.
  • The ability to manage a small 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.
  • Possess a “can do” attitude and willingness to learn.
  • Strong technical orientation and be comfortable with computers and technology as applied to trading, surveillance, and compliance.
  • Fluency in English and Cantonese (both written and spoken) is essential.
What We Offer:
  • Competitive Salary, annual performance-based bonus, and stock grant.
  • Excellent health and welfare benefits, including medical, dental, specialist, and in-patient care.
  • 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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