Job Application for Compliance Assistant at Interactive Brokers

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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.

Roles/Responsibilities:

Be responsible for providing the following supports to Compliance teams:

Monitoring effectiveness of compliance policies/procedures, internal control, and compliance risk by complying with Japan regulations
Conducting internal inspections/investigations on potential violations of compliance policies and procedures
Providing training for employees and consultants on changes/updates on any compliance related matters
Communicating with other departments in order to provide timely and value-added guidance and advice to those parties on compliance-related matters
Ensuring the local compliance risks are identified, assessed, and reported, including proper documentation and follow up
Identifying and reporting compliance issues that may require investigation, according to the Japan regulations
Providing advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters
Reviewing new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations
Communicating and interacting with the regulators
Updating changes or new Japan regulations that come into place and act accordingly
Other Compliance related matters

Requirements:

Japanese Native and fluent in English
Prior working experience in Compliance or Back office in Type I registered firm
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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Statement of Acknowledgement

Interactive Brokers (“IBKR”) is committed to protecting the privacy of its users. 1. Aggregate Information about Visitors. We collect information on a general and aggregate basis, such as IP addresses, in order to analyse the performance of our sites. This data is used completely anonymously in order to determine the number of people who visit our sites and the most frequently used sections of our sites. This enables us to continually update and refine our sites to ensure it provides you with a successful experience. 2. Information about Users. When registering you are requested to enter certain information about yourself. This information forms the basis for any job application. 3. Your Online CV and Job Application. The details of your job application, covering letter, CV and academic results and any other information will not be viewed by anyone except IBKR and any third party service providers used by IBKR for its hiring processes. 4. Information Management. You can edit any information entered at any time before your job application is submitted. This includes contact details, email address, job application information and password. However, once a job application has been sent, that specific job application cannot be altered. You have certain rights to see and correct data held about you. Please refer to the IBKR Group Privacy Policy on our website. 5. Security. The security of our system is very important to us and we work hard on it. However, please note that no data transmission over the Internet is 100% secure.

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I certify that all information I have provided in order to apply and secure employment with this employer is true, complete and correct. I understand that any information provided by me that is found to be false, incomplete or misrepresented in any aspect, will be sufficient cause to (i) eliminate me from further consideration for employment, or (ii) may result in my immediate discharge from the employer's service, whenever it is discovered.

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Compliance Assistant

Company Overview

Roles/Responsibilities:

Requirements:

Company Benefits & Perks

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