Sanctions Compliance Testing Analyst Temp

Profile

Interactive Brokers is looking to hire Compliance Sanctions Testing Analysts for a temp project. This position is in Washington D.C., but remote candidates will be considered. Analysts will report to Compliance Managers from Sanctions and Quality Assurance (“QA”) - Testing & Monitoring to help ensure the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations.

The planned coverage area for testing of Sanctions Compliance, includes (but not limited to) the review of Sanctioned Securities, Accounts & Customer Screening, Transaction Screening, Banned Banks, and the efficacy of systems used by Compliance to restrict accounts that are subject to sanctions.

Day-to-day responsibilities include:

Conduct testing and monitoring activities, including test data collection, assist with the development test plan and test instructions, log reviews of test cases and tracking of progress, and performing adequacy review of policies, procedures, and other documents.

Analyze test results and summarize a list of observations from the completed testing.

Assist with preparation of an executive report that summarizing test objectives, observations, and conclusions from the completed testing.

Prepare management information, including collecting, analyzing, and summarizing data and trends from the completed testing.

The ideal candidate will have some regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization. Alternatively, experience in internal audit, legal, accounting or other control function of a financial services firm or regulator would be beneficial. In the absence of direct industry experience, we will also consider applicants with excellent Bachelor’s-level educational credentials who have some background in law, accounting, data analytics or similar areas with strong analytical and quantitative skills.

Qualifications, Skills & Attributes

Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack

Corporate events including team outings, dinners, volunteer activities and company sports teams

Modern offices with multi-monitor setups

Company Overview

Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.

Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899

Company info

Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com