AML Compliance – Testing & Monitoring Officer

Chicago, Illinois, United StatesHybridFull Time$115,000–$150,000 /yrPosted 2 months agoVisa sponsorship available

Is this role right for you?

Upload your resume and get a skill-by-skill breakdown — see exactly where you match, where you're close, and what to highlight. Not a mystery percentage.

Get a tailored resume highlighting what this role needs.

Role summary

Seeking an AML Compliance Testing & Monitoring Officer for a hybrid role. Responsibilities include developing and executing the annual financial crimes test plan, updating the testing framework, conducting functional and backend SQL testing, analyzing results, communicating findings, and preparing executive reports. The role requires 6+ years of experience evaluating AML controls within financial institutions, knowledge of AML and trading products, SQL, Jira, and US/Foreign AML regulatory regimes. Familiarity with financial crimes data and SDLC is also necessary.

Company Overview

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)

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

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:

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

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

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

This role's anticipated base salary range is $115,000 to $150,000 annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more

Ready to apply?

You'll be redirected to Interactive Brokers's application page.