Head of Compliance

2 weeks ago

Singapore Interactive Brokers Full time
Interactive Brokers Singapore Limited ("IBSG"), a subsidiary of Interactive Brokers Group, Inc

(NASDAQ:

IBKR), is a direct access electronic broker catering to the needs of professional and frequent traders, institutional investors, financial advisors, and introducing brokers. Our clients have access to more than 150 market centers from a single account.

IBKR is the lowest-cost provider of brokerage services and among the largest US electronic brokers based on daily average revenue trades, executing over 1,960,000 trades per day.

Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

***:
Responsibilities
***: IBSG's Head of Compliance will report directly to the IBSG CEO and functionally to the Regional Head of Core Compliance.

The Head of Compliance will be responsible for the firm's day-to-day compliance operations in Singapore, including:

  • Acting as the firm's point of contact with the MAS, exchanges and other regulatory bodies;
  • Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in the region;
  • Designing procedures for complying with MAS and exchange requirements for all regulated activities;
  • Drafting and implementing firm policies and written supervisory procedures;
  • Management of regulatory inspections and audits (both internal and external) and developing/implementing the relevant remedial action plans to address any findings;
  • Crafting written instructions for programmers and technology staff in light of new regulations or launching new business lines;
  • Gather information and prepare written responses to enquiries from MAS, exchanges and other regulatory bodies and law enforcement agencies.

Required Qualifications and Skills:

  • Must be a selfstarter with strong analytical skills;
  • Superior organizational skills with the ability to prioritize and work independently in a dynamic and fastpaced environment;
  • Ability to manage a team and take ownership of projects and tasks with mínimal supervision;
  • Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
  • Familiarity with the Singapore regulatory process, rules and codes;
  • A "can do" attitude with a willingness to learn;
  • Strong technical orientation and comfortable with computers and technology as applied to trading, surveillance and compliance;
  • Fluency in English (both written and spoken) is essential.

Company Benefits & Perks:

  • Competitive Salary, annual performancebased bonus and stock grant
  • CPF Contributions
  • Excellent medical insurance, including dental, specialist and inpatient
  • Competitive package of Annual Leave
  • Daily lunch is ordered inhouse with fully stocked kitchen.
  • Modern offices with multimonitor setups
  • Corporate discount on selected fitness centers
  • Great worklife 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

Company Overview:

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc

(Ticker:

IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account.

Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios.

We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.

Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

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