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 Modern offices with multi-monitor setups 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