AML Compliance – Testing & Monitoring Officer

Interactive Brokers • Chicago, IL

10d • Hybrid

About The Position

Interactive Brokers Group, Inc. is a global financial services company seeking an AML Compliance – Testing & Monitoring Officer. This role involves creating and executing the annual financial crimes test plan, coordinating with offshore teams, and ensuring the testing framework aligns with regulatory requirements. The officer will conduct hands-on testing, analyze results, communicate findings to stakeholders, and contribute to executive reporting and the maintenance of the Global Financial Crimes Control Library. The position requires performing qualitative and quantitative analysis on financial crimes control data to assess risk and impact. This is a hybrid role requiring 4 days in the office and 1 day remote.

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
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree