Head of Compliance - Hong Kong

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Responsibilities: 

Reporting to the Head of Core Compliance-APAC, the Head of Compliance-Hong Kong will oversee and advise on all Hong Kong-related compliance and regulatory matters, including:

• Being the primary liaison to the SFC exchanges and other regulatory bodies;
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
• Managing the implementation or upkeep of strategies and framework for complying with SFC and exchange requirements for all regulated activities;
• Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulator reasons;
• Drafting and implementing firm policies and written supervisory procedures;
• Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the appropriate remedial action plans to address any findings.

Required Qualifications and Skills:

• 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.

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