AML Compliance Testing & Monitoring Officer

Job Title

Interactive Brokers Group, Inc. is seeking a professional for a Hybrid role (4 days in office /1 day remote).

Job Description

Responsibilities include:

• 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

Qualifications

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. Qualifications include:

• 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
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

Required Skills

To be successful in this position, you will have the following:

• 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.

Company Benefits & Perks

Benefits include:

• Competitive salary, annual performance-based bonus, and stock grant awards
• 401(k) retirement plan with competitive company match
• Excellent health and wellness benefits, including medical, dental, and vision benefits. 100% employer-paid medical premiums, with generous employer contributions to dental & vision plans as well.
• Wellness screening and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP)
• Generous paid parental leave (up to 16 weeks paid parental leave for eligible employees)
• Company-paid basic life insurance, accidental death & dismemberment (AD&D), and short- and long-term disability coverage
• Flexible Spending Accounts (Healthcare, Dependent Care, and Commuter FSAs)
• Quarterly fitness stipend to offset costs associated with traditional gym and fitness memberships or fees
• Education reimbursement and professional development opportunities
• Legal services, telehealth access, and voluntary insurance options
• Backup child and adult care support through Care.com
• Daily lunch allowance and fully stocked kitchen with healthy breakfast and snack options