Internal Auditor

  • Cash/stock bonus + Medical
  • Hong Kong
  • Permanent, Full time
  • Interactive Brokers LLC
  • 18 Jan 18 2018-01-18

Over the past 40 years, Interactive Brokers Group, Inc. has grown internally to become one of the premier global securities firms with over $6 billion in equity capital conducting broker-dealer and proprietary trading businesses on over 120 market destinations worldwide.

Its agency brokerage business provides direct access ("online") trade execution and clearing services to institutional and professional traders for a wide variety of electronically traded products including stocks, options, futures, forex, bonds and funds worldwide and earned top ratings from Barron’s Best Online Broker for 7 years in a row as of 2017.

Interactive Brokers' headquarters are in Greenwich Connecticut and it has over 1,100 employees in the Hong Kong, US, Switzerland, Canada, Shanghai, Tokyo, London, Australia, Hungary, India, Russia and Estonia.  The group and its affiliates routinely execute over 1,000,000 trades per day.

 

ROLE:

The Internal Auditor will perform Compliance, Financial, Operational and Information System audits for the purpose of determining the accuracy of financial records, effectiveness of prudent business practices, and compliance with policies, procedures, and regulations. In addition, this position will also assist in department’s unclaimed property Compliance and audit confirmation tasks.

 

RESPONSIBILITIES:

  • Conduct audits to assess compliance with firm policies and regulatory requirements.
  • Design and run queries, mainly via Microsoft Access, to obtain data necessary for performing audits and other projects.
  • Identify/implement automation opportunities to enhance compliance and efficiencies of the business as a whole.
  • Develop process knowledge and identify risk areas for assigned audit projects;
  • Keep abreast with various laws/regulations applicable for a global broker/dealer;
  • Support firm’s unclaimed property compliance initiatives. This involves aiding firm’s unclaimed property identification and reporting tasks to ensure compliance with global unclaimed property laws.
  • Develop specifications to automate the audit, unclaimed property and confirmation tasks, wherever possible.
  • Process audit confirmation requests for IBKR’s clients and support continuous improvement of firm’s Audit Confirmation Response system that is designed to automatically respond to confirmation requests.

 

REQUIREMENTS:

The desired candidate will have 3-5 years business experience preferably with exposure to auditing and/or programming along with knowledge of Hong Kong SFC regulations. Candidate must be comfortable working in an automated hands-on environment. Ideal candidate would be inquisitive, quick learner, detail oriented, have good organizational skills, and capable of performing data analytical tasks. Fluency in written and oral English is also required.

 

ABOUT THE COMPANY:

  • Interactive Brokers Group is a publicly traded company listed on the Nasdaq Stock Exchange under the symbol “IBKR” with a market capitalization of over $25 billion.
  • Interactive Brokers is the largest US retail brokerage firm as measured by daily trade volume with nearly 1 million combined execution per day on 120+ market centers around the world.
  • IB serves 425,000+ clients. IB’s client base includes active traders, financial advisors, hedge funds and introducing brokers. 
  • We provide high-speed, global direct access to stock, options, futures, forex, bonds, ETFs and more from a single IB Universal Account using cutting edge proprietary technologies.
  • For additional information about Interactive Brokers, please visit our website at www.interactivebrokers.com.hk

 

We offer competitive compensation to the right candidate (salary, cash/stock bonus).  Please send CV and cover letter with current and expected salary to career@interactivebrokers.com.hk