Compliance-APAC - Manager / Analyst - Trade Surveillance

About the Company

Interactive Brokers Group, Inc. (NASDAQ: IBKR), a member of the S&P 500, is a global financial services company headquartered in Greenwich, Connecticut, with offices in over 15 countries. Through its affiliates, Interactive Brokers provides automated trade execution and custody of securities, commodities, foreign exchange, and prediction markets on over 170 markets in numerous countries and currencies.

For more than four decades, Interactive Brokers has focused on technology, automation, and innovation to provide clients worldwide with a sophisticated, unified platform to manage their investment portfolios. We serve individual investors, hedge funds, proprietary trading groups, financial advisors, and introducing brokers.

Our culture is driven by problem-solving, efficiency, and continuous improvement. We look for individuals who are intellectually curious, collaborative, and motivated to contribute to technology that helps simplify and enhance access to global financial markets. Interactive Brokers has consistently been recognized as a top broker by respected industry sources including Barron’s, Investopedia, Stockbrokers.com, and others.

Responsibilities

Reporting to the Regional Head of Surveillance, the role involves:

• Conducting trade monitoring and surveillance
• Reviewing and providing suggestions to enhance the existing trade surveillance system/reports
• Manage projects to build and implement approved enhancements and changes required due to regulatory changes.
• Crafting written instructions for programmers and technology staff.
• Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong;
• Assisting in drafting and implementing firm policies and written supervisory procedures;
• Developing and implementing remedial action plans in response to internal and external audit findings;

Required Qualifications and Skills

• Good quantitative, analytical and problem-solving skills
• Fluency in English (both written and spoken) is essential.
• Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm.
• Familiarity with exchange rules, rules governing trading conduct
• Good product knowledge and understanding of the markets
• Prior trade monitoring and surveillance experience
• Solid academic background with relevant qualifications
• Have a "can-do" attitude and willingness to learn.
• Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment
• Experience in dealing with exchange and regulatory enquiries.
• A high degree of comfort and fluency with computers and technology, an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly.
• Ability to work in a small team environment
• Ability to multi-task, prioritize and work with minimal supervision.

Desired

• Prior experience with Smarts broker or equivalent trade monitoring software.
• Chinese language ability (written and/or spoken in Mandarin or Cantonese) is beneficial.
• Citizenship requirements depend on the candidate and the role's jurisdiction.

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 ordered in house with fully stocked kitchen
• 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