Compliance Assistant at Interactive Brokers

Tokyo, , Japan -

Full Time

Start Date

Immediate

Expiry Date

01 Feb, 26

Salary

0.0

Posted On

03 Nov, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Japanese, English, Compliance, Internal Control, Risk Assessment, Training, Communication, Regulatory Matters, Documentation, Product Review, Investigation, Advisory, MS Word, MS Excel

Industry

Financial Services

Description

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. Roles/Responsibilities: Be responsible for providing the following supports to Compliance teams: Monitoring effectiveness of compliance policies/procedures, internal control, and compliance risk by complying with Japan regulations Conducting internal inspections/investigations on potential violations of compliance policies and procedures Providing training for employees and consultants on changes/updates on any compliance related matters Communicating with other departments in order to provide timely and value-added guidance and advice to those parties on compliance-related matters Ensuring the local compliance risks are identified, assessed, and reported, including proper documentation and follow up Identifying and reporting compliance issues that may require investigation, according to the Japan regulations Providing advisory and support of various aspects of the business in Japan regarding compliance and regulatory matters Reviewing new product and business initiatives to implement new rules and regulations internally to ensure the business are complying with Japan regulations Communicating and interacting with the regulators Updating changes or new Japan regulations that come into place and act accordingly Other Compliance related matters Requirements: Japanese Native and fluent in English Prior working experience in Compliance or Back office in Type I registered firm PS Skills such as MS Word and Excel Company Benefits & Perks Competitive Salary, annual performance-based bonus and stock grant Social Security / Insurance benefits Competitive package of Annual Leave Daily lunch ordered in house with fully stocked kitchen Modern offices with great access to metro 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

Responsibilities

The Compliance Assistant will monitor the effectiveness of compliance policies and conduct internal inspections related to compliance violations. They will also provide training and communicate with other departments regarding compliance-related matters.