Senior Auditor

Responsibilities

• Conduct member oversight audits, including Anti‑Money 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 in‑depth knowledge and hands‑on 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.