Job Description

Interactive Brokers is hiring an experienced auditor to perform independent assessment of AML Compliance program of its broker dealer entities. Ideal candidate should have prior experience with testing or managing AML Compliance obligations of US brokerage or banking firms.

Responsibilities

Conduct audits of firm’s AML Compliance programs including regarding customer onboarding, customer due diligence, surveillance, sanction, training, etc.
Plan and execute audit test steps
Prepare audit report that document identified control deficiencies
Communicate audit findings to the management and obtain remedial action plans
Track remedial action plans to completion
Keep abreast with various securities, commodities, banking regulations regarding AML/Financial Crimes
Assist in ad-hoc projects or other audits of group entities

Requirements

3-5 years of experience testing AML and Sanctions programs (either at a consulting firm or through an internal audit program at a financial institution)
Familiarity with the 5 pillars of an AML program
Ability to identify gaps in controls at the macro level
ACAMS certification
Experience planning audit engagements (using a risk-based approach), including coordinating efforts with independent third parties and audits of other subject matter teams
Excellent communication skills, including the ability to communicate opinions and identified issues in a clear and concise manner
Capable of performing data analytical tasks

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
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
Modern offices with multi-monitor setups

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Company Overview

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.

Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899

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Senior Internal Auditor – Anti Money Laundering (AML) / Financial Crimes