Conduct member oversight audits, including AntiMoney Laundering (AML) and Know Your Customer (KYC) reviews, in accordance with established regulatory and internal audit standards.
Conduct integrated operational, compliance, financial audits and Sarbanes-Oxley testing of manual and automated controls.
Develop a thorough understanding of the Company's exchange and clearing operations.
Assist with the completion of audit risk assessments.
Complete audit assignments within established time frames and budgets.
Perform independent appraisal of policies and procedures.
Document audit procedures performed in accordance with departmental standards.
Communicate identified control deficiencies to management effectively.
Maintain effective relationships with internal and external contacts.
Draft or review audit reports and conduct exit conferences with management to discuss findings and management's response.
Travel to other locations as required for internal audit and training purposes.
Knowledge And Experience
Demonstrated indepth knowledge and handson experience with search and screening platforms such as World-Check, LexisNexis, and other relevant tools.
Strong practical experience and comprehensive understanding of sanctions, PEP screening, adverse media research, and related regulatory requirements.
Ability to review and interpret large volumes of data, distill key insights, and present findings in a clear, concise, and actionable manner.
Bachelor's Degree with Certificate in AML fields like ACAMS, ICA etc.
3+ years in internal audit or equivalent experience.
Excellent communication, organization and time management skills with appropriate attention to detail.
Ability to perform multiple projects simultaneously.
Must be proficient in Word, Excel, and PowerPoint.
Ability to adapt in a high growth, rapidly evolving industry.
Knowledge of financial services industry, exchange services, futures clearing merchants, clearing organizations, or energy or commodities trading is a plus.
Ability to travel 15-25%; including international.
