Responsibilities
The Compliance Director will report functionally to the Head of Core Compliance – APAC and locally to the Managing Director for Australia.
The primary responsibilities for this role include:
- Acting as the firm’s point of contact with ASIC, 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 ASIC and exchange requirements for all regulated activities;
- Drafting and implementing firm policies and written supervisory procedures;
- Handling regulatory inspections and audits (both internal and external)
- Developing/implementing the relevant remedial action plans to address any findings from regulatory or internal audits;
- Crafting written instructions for programmers and technology staff in light of new regulations or the launch of new business lines;
- Gathering information and preparing written responses to enquiries from ASIC, exchanges and other regulatory bodies and law enforcement agencies.
- These responsibilities will include questions and issues in at least the following subject matters:
- These responsibilities will include questions and issues in at least the following subject matters:
- Anti-money laundering rules
- Market conduct and trading rules
- Electronic trading and algorithm rules
- Surveillance, including market abuse
- Short sales
- Client Complaints
- Product and investor disclosure regulations
Required Qualifications and Skills:
- Must be a self-starter with strong analytical skills and the ability to work at a fast pace;
- Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment with minimal supervision;
- Comfort with computers and technology and understand how technology is applied to business and regulatory problems.
- Outstanding oral and written communication skills
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
- Ability to work in a small-team environment
- Strong organizational and management skills.
- Proven experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
- Familiarity with the Australian regulatory process, rules and codes;
- A “can do” attitude with a willingness to learn.
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 a growing local presence
- Hybrid work arrangement role permitting
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.
Top Skills
What We Do
Rated #1 Best Online Broker in 2022 for 5 consecutive years by Barron's.
Interactive Brokers Group (Nasdaq: IBKR) and its predecessor companies have been building trading technology for over 44 years. Interactive Brokers Group’s consolidated equity capital exceeds $10 billion.
Throughout its history, the company’s mission has remained unchanged: Create technology to provide liquidity on better terms. Compete on price, speed, size, diversity of global products and advanced trading tools.
Interactive Brokers LLC is a member of NYSE, FINRA, SIPC. For more information, visit: ibkr.com