Compliance Analyst

Anti Money Laundering Program Assessment - Compliance Analyst

Interactive Brokers is looking to hire a Compliance Analyst for the AML team in our office in Hong Kong. Analysts will report to the Regional Head of AML and assist with ensuring the firm complies with the Bank Secrecy Act, the USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations with subject matter expertise when it comes to enterprise corporate clients.

Responsibilities

• Conduct ongoing review and analysis of enterprise clients' AML program/profile and transactions in accordance with established procedures in line with IBKR policy.
• Open to travel; Complete and attend AML site visits in the APAC region.
• Conduct AML interviews with external Compliance Officers/AML Officers.
• Advise management by collecting, analyzing, and summarizing data and trends with ibroker client relationships.
• Maintain accurate tracking of assignments and request for documentation to ensure appropriate deadlines are met.
• Complete detailed AML program assessments of ibroker clients.

Qualifications

The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM), a Bank or a similar organization. Alternatively, experience in internal audit, legal, accounting or other control functions of a financial services firm or regulator would be beneficial. Additionally, candidates who have worked in a Compliance / AML department, working closely with the senior management of a firm implementing the day-to-day AML program, will be well-placed for this type of role.

The ideal candidate will have previous exposure to and in-depth knowledge of downstream payments and corresponding banking, nesting or omnibus account structures.

Absent direct industry experience, we will also consider applicants with excellent bachelor's-level educational credentials who have some background in law, accounting, data analytics or similar areas and strong analytical and quantitative skills. Candidates must be focused, adaptable, collaborative, and have strong time management skills to thrive and succeed in a work environment.

Preferred qualifications:

• High comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
• Strong understanding of the inner workings of robust AML programs
• Excellent oral and written communication skills
• Detail-oriented with outstanding organizational and project management skills.
• Ability to work independently and in a small-team environment and to multi-task with minimal supervision
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications are a plus.
• Capital markets experience
• Language skills: English (required), Mandarin and Cantonese (preferred)
• Passport for travel

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