Compliance Analyst

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.

Barrons 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

• Client Outreach & Relationship Management:Serve as the primary point of contact for Chinese-speaking clients across the Compliance unit including Enhanced Due Diligence (EDD) Financial Intelligence Unit (FIU) and Trade Surveillance teams
• Communication & Liaison:Conduct client outreach in Mandarin to explain compliance requirements gather information and facilitate smooth communication between clients and internal compliance teams
• Stakeholder Inquiries:Assist in handling inquiries from internal and external stakeholders in the region by coordinating client responses and documentation in Chinese and English
• Documentation & Reporting:Prepare clear and accurate reports summaries and correspondence in both Mandarin and English for internal stakeholders and management
• Process Improvement:Provide suggestions to enhance client communication processes and outreach strategies for better engagement with Chinese-speaking clients

Qualifications Skills & Attributes

Required Qualifications and Skills

• Language Skills:Native or fluent proficiency in Mandarin Chinese (written and spoken) is essential; strong English proficiency (written and spoken) is required
• Industry Experience:Relevant experience in financial services compliance risk management or client-facing roles within financial institutions
• Compliance Knowledge:Familiarity with financial crime compliance concepts including AML/KYC Enhanced Due Diligence (EDD) suspicious activity monitoring and trade surveillance
• Communication Skills:Excellent interpersonal and communication skills with the ability to explain complex compliance matters clearly to clients from diverse backgrounds
• Client Management:Proven ability to build and maintain professional relationships with clients while managing sensitive and confidential information
• Organizational Skills:Strong organizational abilities with capability to prioritize multiple tasks and work independently in a dynamic and fast-paced environment
• Cultural Awareness:Deep understanding of Chinese business culture and practices
• Attitude: Have a can-do attitude willingness to learn and ability to work collaboratively across teams
• Technology: Comfortable with computers compliance systems and technology applications in business and regulatory contexts

Desired Qualifications

• Prior experience in financial crime compliance roles (AML KYC EDD FIU or Trade Surveillance)
• Knowledge of Chinese and international regulatory requirements related to financial crime compliance
• Familiarity with compliance monitoring systems and case management tools
• Cantonese language ability is a plus
• Experience working in multinational financial institutions or brokerage firms
• Ability to work effectively in a small team environment with minimal supervision

Company Benefits & Perks