AML Compliance – Testing & Monitoring Officer

Interactive Brokers Group•Chicago, IL

107d•$115,000 - $150,000•Hybrid

About The Position

Interactive Brokers Group, Inc. is a global financial services company seeking an AML Compliance – Testing & Monitoring Officer. This role is responsible for creating and maintaining the annual Financial Crimes test plan, coordinating execution with an offshore testing team, and updating the testing framework to align with regulatory requirements and industry standards. The officer will conduct testing and monitoring activities, analyze results, communicate deficiencies, and prepare executive reports. This position also involves supporting the maintenance of the Global Financial Crimes Control Library, developing testing and monitoring metrics, and performing qualitative and quantitative analysis on Financial Crimes control data. The role requires collaboration with stakeholders across the Financial Crimes Compliance program and Engineering teams.

Requirements

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).
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
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.

Nice To Haves

Experience in internal audit, legal, accounting, or other control function of a financial services firm or regulator would be beneficial.
ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus

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

Benefits

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