APAC Risk Assessment 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.

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.

Job Description

Interactive Brokers Hong Kong Limited ("IBHK") is expanding its Risk Assessment Team (RA) within the New Accounts Department at our Hong Kong office. We are searching for candidates with prior experience in the financial services industry, extraordinary attention to detail, and strong communication skills. The RA department liaises with Interactive Brokers' retail and professional clients.

The IBHK RA is accountable for providing high-quality reviews of Anti-Money Laundering (AML), Know-Your-Customer (KYC), sanctioning and Politically Exposed Persons (PEP) issues for retail customers, financial advisors, hedge fund operators and other broker-dealers. We aim to facilitate client onboarding by providing regulatory and compliance guidance while building and maintaining long-term client relationships as we expand our global service offerings.

Responsibilities

Perform Enhanced Due Diligence (EDD) review on Individual and Corporate applications following policies and desktop procedures; identify and escalate potential AML risks

Analyze and verify the source of funds/wealth information through the public domain or documentation

Investigate and process alerts from multiple queues, sourcing information as appropriate from external sources and/or internal personnel to investigate and process alerts effectively

Evaluate and resolve negative news and/or red flags or potential PEP matches escalated by other New Account Teams

Run checks in the Offshore Leaks Database and conduct public domain searches for negative information related to applicants and associated entities

Provide advice on issues and escalations to other New Accounts Teams to address difficult applications and independently recommend risk-based decisions to AML

Responsible for timely escalations of suspected financial crime to AML

Work closely with other New Account teams and AML to review and evaluate all financial crime risks

Qualifications, Skills & Attributes

Bachelor's degree

Experience: 2-3 years in Client Service and/or Financial Service preferred. Fresh graduates with a relevant academic background who are motivated and demonstrate the right aptitude will also be considered

Minimum of 2 years' experience and familiarity, preferably gained in brokerage or corporate banking environment, with onboarding or reviewing high-risk client relationships and carrying out EDD

Excellent written and oral communication skills in English and Cantonese; Mandarin is advantageous

Strong research, investigatory, and problem-solving skills

Ability to make risk-based recommendations and articulate those persuasively to other departments

Able to multitask various projects and firm initiatives

Prior experience in a highly automated environment and/or a high degree of comfort with computers and technology

Intermediate experience with MS Outlook, MS Word, and MS Excel

Ability to work and thrive in a fast-paced, medium-sized office environment

Core Competencies

• Ability to identify, analyze, and escalate complex issues
• Excellent troubleshooting and problem-resolution skills
• Taking personal responsibility for identifying client needs while providing a high-value experience
• Efficient, self-motivated and hard-working
• Being able to multitask in a pressured environment

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and inpatient
• Competitive package of Annual Leave
• Daily lunch ordered in-house with a 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 a growing local presence
• Hybrid work arrangement role permitting