What are the responsibilities and job description for the Compliance Assistant Manager/Analyst position at Interactive Brokers?
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.
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