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, 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 (either at a consulting firm or through an internal audit program at a financial institution)
• Ability to identify gaps in controls at the macro level
• CPA certification is a plus
• 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