Compliance Senior Manager/Manager
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.
Job Description:
Compliance Senior Manager/Manager leads the company’s compliance program and ensures adherence to all relevant Japanese regulations, reporting to the Head of Compliance. You will oversee compliance strategic planning, regulatory engagement, and risk management initiatives across the operations in Japan. This is a senior leadership role that combines strategic planning, regulatory interpretation, and hands-on execution.
Role and Responsibilities:
Leadership and Team Management
- Lead and mentor the Japan Compliance team, fostering proactive risk management and professional growth
- Handle day-to-day operations of the compliance department
- Conduct internal training for staff on compliance-related matters
- Work closely with the Head of Compliance to formulate and implement internal controls and compliance policies/procedures
Program Development and Implementation
- Develop, implement, and maintain compliance programs aligned with Japanese financial regulations
- Prepare annual compliance plan for approval and implementation with compliance monitoring program
- Update policies, procedures, and controls to meet regulatory requirements
- Set up internal controls to manage regulatory compliance from FIEL and other financial industry requirements
Risk Management and Assessment
- Conduct regular risk assessments and ensure continuous improvement of compliance processes
- Perform compliance risk assessments with effective measures to identify, assess, and mitigate risks
- Monitor effectiveness of compliance policies/procedures and internal controls
- Ensure proper documentation and follow-up of compliance risks
Regulatory Relations and Reporting
- Manage communications and relationships with all Japanese regulatory agencies
- Handle regulatory filings, examinations, and reporting requirements
- Serve as primary contact point for regulatory inquiries
- Stay updated on changes to Japanese regulations and implement accordingly
Financial Crime Prevention
- Oversee AML/CFT programs, transaction monitoring, and suspicious activity reporting
- Conduct KYC reviews in coordination with APAC AML/CFT team
- Conduct internal inspections/investigations on potential compliance violations
Trade Surveillance
- Conduct trade surveillance by using trade surveillance system by cooperating with APAC trade surveillance team
- Respond and submit the information for trade surveillance related regulatory inquiries
- Review and maintain policies and procedures for trade surveillance
Business Support and Advisory
- Review and approve new products, services, and marketing materials from compliance perspective
- Lead new business and infrastructure initiatives from regulatory and best practice perspective
- Provide timely guidance and advisory support to business units on compliance matters
Stakeholder Collaboration
- Partner with global and regional stakeholders to align compliance initiatives across IB entities
- Collaborate with business units, senior management, and regional compliance teams
- Assist with internal and external inspections and audits
- Work with external lawyers on legal inquiries
Additional Responsibilities
- Any other responsibilities deemed appropriate and necessary by the company
Qualifications, Skills & Attributes
- Japanese Native and fluent in English
- 5-10+ years working experience in Compliance in Type I registered firm
- Strong understanding of Japanese financial, CFT/AML regulations, Personal Data Protection regulations and financial market business practice
- Excellent analytical and communication skills; capable of translating complex regulations into practical guidance
- PS Skills such as MS Word and Excel
Company Benefits & Perks
- Competitive Salary, annual performance-based bonus and stock grant
- Social Security / Insurance benefits
- Competitive package of Annual Leave
- Daily lunch ordered in house with fully stocked kitchen
- Modern offices with great access to metro
- 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 growing local presence
- Hybrid work arrangement role permitting
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