Job Application for Compliance Analyst at Interactive Brokers

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

Client Outreach & Relationship Management: Serve as the primary point of contact for Chinese-speaking clients across the Compliance unit, including Enhanced Due Diligence (EDD), Financial Intelligence Unit (FIU), and Trade Surveillance teams
Communication & Liaison: Conduct client outreach in Mandarin to explain compliance requirements, gather information, and facilitate smooth communication between clients and internal compliance teams
Stakeholder Inquiries: Assist in handling inquiries from internal and external stakeholders in the region by coordinating client responses and documentation in Chinese and English
Documentation & Reporting: Prepare clear and accurate reports, summaries, and correspondence in both Mandarin and English for internal stakeholders and management
Process Improvement: Provide suggestions to enhance client communication processes and outreach strategies for better engagement with Chinese-speaking clients

Qualifications, Skills & Attributes

Required Qualifications and Skills

Language Skills: Native or fluent proficiency in Mandarin Chinese (written and spoken) is essential; strong English proficiency (written and spoken) is required
Industry Experience: Relevant experience in financial services, compliance, risk management, or client-facing roles within financial institutions
Compliance Knowledge: Familiarity with financial crime compliance concepts including AML/KYC, Enhanced Due Diligence (EDD), suspicious activity monitoring, and trade surveillance
Communication Skills: Excellent interpersonal and communication skills with the ability to explain complex compliance matters clearly to clients from diverse backgrounds
Client Management: Proven ability to build and maintain professional relationships with clients while managing sensitive and confidential information
Organizational Skills: Strong organizational abilities with capability to prioritize multiple tasks and work independently in a dynamic and fast-paced environment
Cultural Awareness: Deep understanding of Chinese business culture and practices
Attitude: Have a "can-do" attitude, willingness to learn, and ability to work collaboratively across teams
Technology: Comfortable with computers, compliance systems, and technology applications in business and regulatory contexts

Desired Qualifications

Prior experience in financial crime compliance roles (AML, KYC, EDD, FIU, or Trade Surveillance)
Knowledge of Chinese and international regulatory requirements related to financial crime compliance
Familiarity with compliance monitoring systems and case management tools
Cantonese language ability is a plus
Experience working in multinational financial institutions or brokerage firms
Ability to work effectively in a small team environment with minimal supervision

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
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 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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Compliance Analyst

Company Overview

Responsibilities

Qualifications, Skills & Attributes

Company Benefits & Perks

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