Aml Analyst – Quality Assurance

1 week ago

Dublin, Ireland Interactive Brokers Group, Inc. Full time

OverviewAML Analyst – Quality Assurance (Testing & Monitoring) – Dublin, IrelandCompany: Interactive Brokers Group, Inc. (Nasdaq: IBKR).Headquartered in Greenwich, CT, USA, with offices in over 15 countries.Provides global electronic brokerage services to clients in over 200 countries and territories.Office Location: North Dock One, ***** North Wall Quay, Dublin, D01 H7V7Reporting: This role reports directly into the Pan EU Head, AML/Assurance Testing and Monitoring at Interactive Brokers Ireland LimitedResponsibilitiesImplement and execute a compliance testing program for Anti-Money Laundering (AML) controls in the first and second lines of defence.Participate in the planning, execution, and reporting of compliance assurance reviews and regulatory issue validation.Perform qualitative, risk-based testing on first and second lines of defence by reviewing key AML/financial crime control points from a population sample.Engage with control owners in preliminary discussions and present initial test findings.Produce reports (including ad hoc) for control owners and senior management based on initial findings and discussions, under guidance of the AML Assurance/QA Manager.Develop and prepare corrective action and management information reports for control owners.Conduct timely follow-ups on pending issues to ensure quick resolutions.Assist with the planning, execution and reporting of compliance assurance reviews.Carry out compliance and regulatory issue validation activities in accordance with the Assurance Testing Plan.Assist in developing and enhancing the Assurance Testing Methodologies and Standards for testing, monitoring, and reporting.Utilise innovative compliance testing solutions, including data analytics, to add value and reduce costs of compliance activities.Coordinate QA/Testing reviews under guidance of the AML Assurance/QA Manager and Senior QA/Testing Analyst, following the Assurance Testing Plan.Assist in producing AML/Anti-financial crime QA review metrics for distribution to stakeholders.Update and monitor issues identified for remediation using various Compliance Tracking Tools.Maintain intermediate knowledge in Oracle SQL to retrieve, filter, analyse, format and present information from Oracle databases for testing and exception report monitoring.ExperienceAt least 2+ years' experience in Anti-Money Laundering compliance, preferably at a large broker or other financial institution with a European customer base, or an EU regulator.Experience in KYC/customer due diligence reviews, transaction monitoring, financial crime investigations and anti-fraud is required.Audit experience within the financial sector is beneficial.A Bachelor's degree in Law, Business, Finance, or Accounting is preferred or Certified Anti-Money Laundering Specialist (CAMS) or similar ICA Diploma.Sound knowledge of European and UK regulations, European Directives and ability to stay current on AML developments.Skills and CompetenciesExcellent verbal and written communication skills.Self-motivated with the ability to work in a small team as well as independently.Proficiency in MS Excel, Word, Outlook and PowerPoint.Ability to work efficiently with large data sets in Excel or other proprietary databases.Strong attention to detail.#J-*****-Ljbffr

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