Overview
AML Analyst – Quality Assurance (Testing & Monitoring) – Dublin, Ireland
Company: 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, 91/92 North Wall Quay, Dublin, D01 H7V7
Reporting: This role reports directly into the Pan EU Head, AML/Assurance Testing and Monitoring at Interactive Brokers Ireland Limited
Responsibilities
* Implement 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.
Experience
* At 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 Competencies
* Excellent 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.
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