Senior Internal Auditor Anti Money Laundering AML / Financial Crimes

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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 paid lunch 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 sit/stand desks and multi-monitor setups
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Company Overview
Interactive Brokers (IBKR), a subsidiary of publicly-traded **MEMBERS ONLY**SIGN UP NOW***., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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