AML Compliance – Testing & Monitoring Officer
About the position
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.
This is Hybrid role (4 days in office /1 day remote)
The ideal candidate will have 6+ years of experience evaluating Anti-Money Laundering (“AML”) controls across Investigations, Sanctions, Enhanced Due Diligence, and Suspicious Activity Reporting with a Financial Institution (preferably at a large broker or other financial institution with an international client base). Additionally, experience in internal audit, legal, accounting, or other control function of a financial services firm or regulator would be beneficial.
Responsibilities
• Create and maintain the Annual Financial Crimes test plan covering the different risk areas
• Coordinate day to day execution with offshore Testing team
• Own and update testing framework and supporting templates to be in-line with regulatory requirements and industry standards
• Conduct testing and monitoring activities, including developing test plans, test data collection, develop test instructions, and performing adequacy review of policies and procedures
• Execute hands on testing both functional as well as backend SQL, based on the control setup
• Analyze test results and summarize a list of meaning risk-based observations
• Communicate deficiencies to the business and key stakeholders and exercise credible challenge.
• Assist with preparing executive reports summarizing test results and conclusions
• Provide support with the maintenance of Global Financial Crimes Control Library
• Develop Testing and Monitoring metrics, and contribute to department reporting
• Work collaboratively with stakeholders across the Financial Crimes Compliance program and Engineering teams
• Perform qualitative and quantitative analysis on Financial Crimes control data to assess risk and impact
Requirements
• Bachelor’s or Master’s Degree
• Knowledge of AML and trading products (Equities, Options, Futures, FOREX, and Crypto) as well as applicable industry standards
• Experience with SQL, Jira and JQL queries
• Experience in US and Foreign AML Regulatory regimes
• Understanding of financial crimes data and Software Development Life Cycle (“SDLC”)
• High degree of comfort and fluency of how technology is applied to business and regulatory problems
• Excellent oral and written communication skills
• Detail-oriented with organizational and project management skills
• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.
Nice-to-haves
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
Benefits
• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
• Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
• Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
• Corporate events including team outings, dinners, volunteer activities and company sports teams
• Education reimbursement and learning opportunities
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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.
This is Hybrid role (4 days in office /1 day remote)
The ideal candidate will have 6+ years of experience evaluating Anti-Money Laundering (“AML”) controls across Investigations, Sanctions, Enhanced Due Diligence, and Suspicious Activity Reporting with a Financial Institution (preferably at a large broker or other financial institution with an international client base). Additionally, experience in internal audit, legal, accounting, or other control function of a financial services firm or regulator would be beneficial.
Responsibilities
• Create and maintain the Annual Financial Crimes test plan covering the different risk areas
• Coordinate day to day execution with offshore Testing team
• Own and update testing framework and supporting templates to be in-line with regulatory requirements and industry standards
• Conduct testing and monitoring activities, including developing test plans, test data collection, develop test instructions, and performing adequacy review of policies and procedures
• Execute hands on testing both functional as well as backend SQL, based on the control setup
• Analyze test results and summarize a list of meaning risk-based observations
• Communicate deficiencies to the business and key stakeholders and exercise credible challenge.
• Assist with preparing executive reports summarizing test results and conclusions
• Provide support with the maintenance of Global Financial Crimes Control Library
• Develop Testing and Monitoring metrics, and contribute to department reporting
• Work collaboratively with stakeholders across the Financial Crimes Compliance program and Engineering teams
• Perform qualitative and quantitative analysis on Financial Crimes control data to assess risk and impact
Requirements
• Bachelor’s or Master’s Degree
• Knowledge of AML and trading products (Equities, Options, Futures, FOREX, and Crypto) as well as applicable industry standards
• Experience with SQL, Jira and JQL queries
• Experience in US and Foreign AML Regulatory regimes
• Understanding of financial crimes data and Software Development Life Cycle (“SDLC”)
• High degree of comfort and fluency of how technology is applied to business and regulatory problems
• Excellent oral and written communication skills
• Detail-oriented with organizational and project management skills
• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.
Nice-to-haves
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
Benefits
• Competitive salary, annual performance-based bonus and stock grant
• Retirement plan 401(k) with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
• Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
• Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
• Corporate events including team outings, dinners, volunteer activities and company sports teams
• Education reimbursement and learning opportunities
Apply tot his job
Apply To this Job