APAC Risk Assessment Analyst at Interactive Brokers

Hong Kong

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Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, BrokerageIndustries

Requirements

Bachelor's degree
2–3 years in client service and/or financial services preferred (fresh graduates with relevant academic background and aptitude considered)
Minimum of 2 years' experience and familiarity with onboarding or reviewing high-risk client relationships and conducting EDD, preferably in brokerage or corporate banking
Excellent written and oral communication skills in English and Cantonese; Mandarin advantageous
Strong research, investigatory, and problem-solving skills
Ability to make risk-based recommendations and articulate them persuasively to other departments
Able to multitask across various projects and firm initiatives
Prior experience in a highly automated environment and/or 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
Ability to identify, analyze, and escalate (core competency)

Responsibilities

Perform Enhanced Due Diligence (EDD) reviews on individual and corporate applications following policies and desktop procedures; identify and escalate potential AML risks
Analyze and verify source of funds/wealth information through public domain sources 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 Account Teams to address difficult applications and independently recommend risk-based decisions to AML
Responsible for timely escalation of suspected financial crime to AML
Work closely with other New Account Teams and AML to review and evaluate all financial crime risks

Skills

AML

KYC

EDD

PEP

Sanctions Screening

Risk Assessment

Due Diligence

Compliance

Customer Onboarding

Interactive Brokers

Online trading platform with low commissions

About Interactive Brokers

Interactive Brokers offers an online trading platform that provides access to a wide range of financial instruments, including stocks, options, futures, currencies, bonds, and funds. The platform is known for its low commissions and best execution practices, ensuring clients get the best prices for their trades. Unique features like fractional shares and the IMPACT app allow users to invest in high-value stocks affordably and align their investments with personal values. The goal of Interactive Brokers is to deliver a comprehensive and cost-effective trading experience for individual traders, investors, and financial advisors globally.

Greenwich, ConnecticutHeadquarters

1977Year Founded

IPOCompany Stage

Fintech, Financial ServicesIndustries

1,001-5,000Employees

Benefits

Competitive Pay with discretionary bonus packages which include company stock grants

Comprehensive Health Plans that include extensive Vision, Dental and Prescription coverage

Daily Lunch Allowance

401K Retirement Savings Plan (generous company match)

Wellness Incentives

Flexible Spending Accounts

Paid Personal Time and Sick Leave

Risks

Increased regulatory scrutiny may lead to stringent compliance requirements and potential fines.

AI tools may expose the company to data privacy and algorithmic trading risks.

Rapid growth in DARTs could strain infrastructure, risking service disruptions.

Differentiation

Interactive Brokers offers low commissions and financing rates, making trading affordable.

The platform provides direct market access to over 135 markets in 33 countries.

Innovative features like fractional shares and the IMPACT app attract diverse investors.

Upsides

AI tools in the Advisor Portal enhance decision-making for financial advisors.

IBKR Desktop 0.12 offers advanced features for options traders, boosting user engagement.

74% growth in DARTs and $576 billion in client equity indicate strong financial health.

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