Director / Associate Director – Core Compliance Singapore

Director / Associate Director – Core Compliance

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

Reporting to the Head of Core Compliance-APAC, the Compliance Director / Associate Director (Singapore) is expected to oversee the Singapore compliance function and advise on all Singapore-related compliance and regulatory matters, including :

• Act as the primary liaison to the MAS, exchanges and other regulatory bodies;
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in Singapore;
• Managing the implementation or upkeep of strategies and frameworks for complying with MAS and exchange requirements for all regulated activities;
• Assisting in the crafting of written instructions for programmers and technology staff to facilitate changes required to be made as a result of regulatory changes or other regulatory reasons;
• Drafting and implementing firm policies and written supervisory procedures;
• Managing all relevant regulatory inspection and audit reviews (both internal and external), including developing and implementing the relevant remedial action plans to address any findings.

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I certify that all information I have provided in order to apply and secure employment with this employer is true, complete and correct.I understand that any information provided by me that is found to be false, incomplete or misrepresented in any aspect, will be sufficient cause to (i) eliminate me from further consideration for employment, or (ii) may result in my immediate discharge from the employer's service, whenever it is discovered.

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