AML Compliance Specialist

Interactive Brokers Group is a pioneer in trading innovation, continuously pushing boundaries to deliver exceptional trading platforms. As a technology-driven company, we foster an atmosphere that encourages creativity and collaboration. Our team of experts is dedicated to providing the best possible experience for our clients.

The Assurance Testing and Monitoring team operates within the broader AML department, reporting directly to the Money Laundering Reporting Officer (MLRO). This team's primary responsibility is to conduct independent testing activities according to IBKR group procedures/policy and UK/EU AML legislation. The goal is to assess the effectiveness of first and second-line AML controls by analyzing metrics from test samples and validating remediation actions taken to address findings.

• Implement and execute compliance testing programs for AML controls in the first and second lines of defense.
• Participate in planning, execution, and reporting of compliance assurance reviews and regulatory issue validation.

To achieve this, you will perform qualitative, risk-based testing on key control points from a population sample, producing initial Assurance metrics and findings in accordance with testing procedures. You will also participate in preliminary discussions with applicable control owners and present initial test findings. Additionally, you will produce reports (including ad-hoc) for control owners and senior management based on initial findings and discussions at the direction of the AML Assurance/QA Manager.

This role requires strong analytical skills, attention to detail, and excellent communication skills to effectively collaborate with team members and stakeholders. You will be responsible for developing and preparing corrective action and management information reports for control owners. Furthermore, you will conduct timely follow-ups on pending issues to ensure quick resolutions.

• A bachelor's degree in law, business, finance, or accounting or a certified anti-money laundering specialist (CAMS) or similar ICA diploma.
• At least 2+ years' experience in AML compliance, preferably at a large broker or other financial institution with a European client base or an EU regulator.
• Solid knowledge of European and UK regulations, as well as the ability to stay current on AML developments.
• Excellent verbal and written communication skills.
• Self-motivated with the ability to work independently and as part of a small team.
• Proficiency in MS Excel, Word, Outlook, and PowerPoint.
• Ability to efficiently work with large data sets in Excel or other proprietary databases.