AML Risk Assessment Manager
Interactive Brokers is looking for an Anti-Money Laundering ("AML") Risk Assessment Manager in its Compliance department to manage the firm's AML risk assessment process, periodic 2 nd Line of Defense ("LOD") AML control testing program, and 3 rd LOD independent testing of the firm's AML program. Responsibilities:
- Plan and execute the firm's periodic AML risk assessment and 2 nd LOD control testing program in accordance with industry standards and expectations of management, auditors, and regulators
- Work with the firm's independent auditors to execute the annual 3 rd LOD testing of the AML program
- Maintain and enhance risk management policies and methodologies
- Outline data requirements and conduct analysis of big data sets to measure risk factors and controls.
- Identify and monitor new and emerging risks
- Perform qualitative and quantitative analysis of data
- Assess and maintain control inventory and framework
- Liaise with business partners on new initiatives, products, and other matters as it relates to risk assessment
- Evaluate risk associated with AML processes and recommend enhancements, where appropriate
- Develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
- 5+ years of relevant AML experience, preferably at a large broker or other financial institution with an international customer base
- In-depth knowledge of regulatory requirements, industry standards, risk management and controls
- Appropriate securities and/or commodities registrations and/or ability to complete further required registration exams promptly
- High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
- Outstanding leadership, communication, analytical, and project management skills
- Ability to work under pressure, formulate and articulate solutions and defend assumptions
- Bachelor's degree or military experience
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification strongly preferred
- Business Process Management or similar certifications are a plus.
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (IEX: 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, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
For more information, please visit www.ibkr.com/info