Senior Internal Auditor â Anti Money Laundering

4 weeks ago


Greenwich Connecticut United States Interactive Brokers Full time
Job Description

Interactive Brokers is hiring an experienced auditor to perform independent assessment of AML Compliance program of its broker dealer entities. Ideal candidate should have prior experience with testing or managing AML Compliance obligations of US brokerage or banking firms. 

 Responsibilities

  • Conduct audits of firmâs AML Compliance programs including regarding customer onboarding, customer due diligence, surveillance, sanction, training, etc.
  • Plan and execute audit test steps
  • Prepare audit report that document identified control deficiencies
  • Communicate audit findings to the management and obtain remedial action plans
  • Track remedial action plans to completion
  • Keep abreast with various securities, commodities, banking regulations regarding AML/Financial Crimes
  • Assist in ad-hoc projects or other audits of group entities

 Requirements

  • 3-5 years of experience testing AML and Sanctions programs (either at a consulting firm or through an internal audit program at a financial institution)
  • Familiarity with the 5 pillars of an AML program
  • Ability to identify gaps in controls at the macro level
  • ACAMS certification
  • Experience planning audit engagements (using a risk-based approach), including coordinating efforts with independent third parties and audits of other subject matter teams
  • Excellent communication skills, including the ability to communicate opinions and identified issues in a clear and concise manner
  • Capable of performing data analytical tasks

Company Benefits & Perks

  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with a 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)
  • Paid time off and a generous parental leave policy
  • 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
  • Modern offices with multi-monitor setups

 

#LI-AI1

  • Pittsburgh, PA, United States BNY Mellon Full time

    Bring your ideas. Make history.  BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Job DescriptionInteractive Brokers is hiring an experienced auditor to perform independent assessment of AML Compliance program of its broker dealer entities. Ideal candidate should have prior experience with testing or managing AML Compliance obligations of US brokerage or banking firms. Responsibilities Conduct audits of firm's AML Compliance programs...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Job Description Interactive Brokers is hiring an experienced auditor to perform independent assessment of its broker dealer entities. Ideal candidate should have prior experience with auditing in the financial services industry.  Responsibilities Conduct audits of firm’s programs including customer onboarding, customer due diligence, surveillance,...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    Job DescriptionInteractive Brokers is hiring an experienced auditor to perform independent assessment of its broker dealer entities. Ideal candidate should have prior experience with auditing in the financial services industry. Responsibilities Conduct audits of firm's programs including customer onboarding, customer due diligence, surveillance, sanction,...


  • Camden, NJ, United States Cooper University Health Care Full time

    About us At Cooper University Health Care, our commitment to providing extraordinary health care begins with our team. Our extraordinary professionals are continuously discovering clinical innovations and enhanced access to the most up-to-date facilities, equipment, technologies and research protocols. We have a commitment to our employees by providing...


  • Greenwich, United States GXO Logistics, Inc. Full time

    The Senior, IT Audit is responsible for designing and conducting various IT Internal Audits, ensuring audit work is performed in accordance with IIA standards and GXO policies and procedures. This position will also work with a team of external co-source resources to execute audits. Additionally, he/she will be required to liaison the SOC1 reporting program...


  • Greenwich, United States GXO Logistics, Inc. Full time

    The Senior, IT Audit is responsible for designing and conducting various IT Internal Audits, ensuring audit work is performed in accordance with IIA standards and GXO policies and procedures. This position will also work with a team of external co-source resources to execute audits. Additionally, he/she will be required to liaison the SOC1 reporting program...


  • Greenwich, United States GXO Logistics, Inc. Full time

    The Senior, IT Audit is responsible for designing and conducting various IT Internal Audits, ensuring audit work is performed in accordance with IIA standards and GXO policies and procedures. This position will also work with a team of external co-source resources to execute audits. Additionally, he/she will be required to liaison the SOC1 reporting program...


  • Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionJob DescriptionInteractive Brokers is hiring an experienced auditor to perform independent assessment of its broker dealer entities. Ideal candidate should have prior experience with auditing in the financial services industry. Responsibilities Conduct audits of firm's programs including customer onboarding, customer due...


  • Greenwich, United States Interactive Brokers Full time

    Job DescriptionJob DescriptionJob DescriptionInteractive Brokers is hiring an experienced auditor to perform independent assessment of its broker dealer entities. Ideal candidate should have prior experience with auditing in the financial services industry. Responsibilities Conduct audits of firm's programs including customer onboarding, customer due...

  • Production Agent

    15 hours ago


    Atlanta, GA, United States Wipro Limited Full time

    Overview:Who We AreWipro is continuing to grow in 2024! More opportunity for advancement too!Wipro is seeking individuals who combine excellent customer service and problem-solving skills with the ability to function effectively both as part of a team or on an individual basis to bring their talent to our team.Wipro is a leading, publicly traded, global IT...


  • Greenwich, United States Olesky Associates, Inc Full time

    Primary Care Physician, Employed, Outpatient Group Practice  An employed multispecialty physician group practice that is part of a financially strong and stable health system, and teaching affiliate of Columbia University College of Physicians and Surgeons is currently seeking a part or full time BE/BC Internist to join an Outpatient Internal Medicine...


  • Camden, NJ, United States Cooper University Health Care Full time

    About us At Cooper University Health Care, our commitment to providing extraordinary health care begins with our team. Our extraordinary professionals are continuously discovering clinical innovations and enhanced access to the most up-to-date facilities, equipment, technologies and research protocols. We have a commitment to its employees by providing...

  • Internal Audit

    6 days ago


    New York, NY, United States Goldman Sachs Full time

    The Goldman Sachs Group, Incis a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and individualsFounded in 1869, the firm is headquartered in New York and maintains offices...

  • Senior Data Analyst

    4 weeks ago


    Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote). Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is Hybrid role (3 days in office /2 days remote) Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries...


  • Pittsburgh, PA, United States BNY Mellon Full time

    Bring your ideas. Make history.  BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management and banking firms that manages trillions of dollars in assets, custody and/or administration. Known as the “bank of banks” - 97% of the world’s top banks...

  • Bilingual Teller

    4 weeks ago


    Greenwich, United States M&T Bank Full time

    Overview: Specializes in our branch customer experience through digital engagement, lobby management, transactional processing and retail servicing interactions. Processes a variety of financial transactions in an accurate and efficient manner. Primary Responsibilities: Adhere to the established customer service standards and provide a differentiated...


  • New Haven, Connecticut, United States Yale New Haven Health Full time

    Overview: To be part of our organization, every employee should understand and share in the YNHHS Vision, support our Mission, and live our Values. These values - integrity, patient-centered, respect, accountability, and compassion - must guide what we do, as individuals and professionals, every day. The Internal Audit and Controls Senior will plan, execute...


  • Greenwich, Connecticut, United States Interactive Brokers Full time

    About INTERACTIVE BROKERS! This is a hybrid role (three days in the office/two days remote).   Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We...