AML - Financial Intelligence Unit, Analyst

Key Responsibilities

• Operate as part of a team of AML professionals conducting ongoing surveillance and investigations on client activities. Where applicable, support management with filing reports with local law enforcement and regulators
• Become proficient with the firm’s case management tool, IBKR360, to ensure that all monitoring and reporting activities are effectively documented in compliance with internal standards and regulatory expectations
• Execute a review of the client profile and activity history to determine whether there is a reasonable and appropriate rationale for the identified transaction(s)
• Document concise and consistent risk-based rationale for alert/investigation conclusions in line with internal and regulatory requirements
• Perform work within established timeframes and meet standards for Quality Assurance and Key Performance Indicator benchmarks
• Assist in responding to queries and addressing escalations received from the 1LOD
• Assist in the development and implementation of work paper templates, documentation standards, and processes for knowledge sharing across regional teams
• Where required, assist management in responding to external requests for information from FIU activities and other ad hoc obligations (e.g., collate MI dashboards, support completion of program assessments and process enhancements)
• Communicate and work closely with regional surveillance partners and business stakeholders to enable the effective exchange of information needed to facilitate a consistent risk-based approach across IBKR’s multiple markets and operating entities
• Provide ongoing support in developing policies and procedures, executing Quality Assurance, and facilitating escalations, and feedback loops

Qualifications and Experience

• Bachelor’s degree in law, business, finance, or accounting preferred, or Certified Anti-Money Laundering Specialist (CAMS) or similar compliance diploma or accreditation
• At least 2 years of experience in transaction monitoring for financial crimes, particularly regarding domestic and international payment activities. Preferably gained at a large broker or other financial institution with a European client base or an EU regulator
• Experience identifying red flags and typologies associated with financial crimes. Experience using SQL (or similar) to query relevant activity is advantageous
• Good knowledge of local regulations and European directives in connection with documenting risk-based decisions and conclusions regarding potentially suspicious activity
• Proven analytical skills, with strong attention to detail and direct experience escalating high-risk issues to management
• Excellent oral and written communication skills
• Self-motivated with the ability to work in a small team as well as independently