Senior Analyst, Compliance Officer US
Finance, Banking & Legal · Legal Services · Compliance & Regulatory
In short
Responsibilities
- Perform risk-based compliance monitoring and testing for the Branch and SEBSI.
- Execute transaction-monitoring and surveillance activities.
- Execute customer onboarding, risk-rating, due-diligence and periodic-review controls.
- Perform and provide backup coverage for AML/BSA and OFAC controls.
- Perform employee compliance reviews and administrative activities.
- Support SEBSI broker-dealer compliance activities.
- Maintain required system access, control calendars, evidence repositories and records.
- Conduct regulatory and legal research and assist in drafting policies and procedures.
- Prepare accurate and timely data and narrative updates for compliance reporting.
- Help prepare and administer annual and targeted compliance training.
- Work with various departments to obtain information and support audit processes.
- Maintain current procedures, contribute to process improvements and serve as backup.
Requirements
- Minimum bachelor’s degree with 2 or more years of relevant compliance, legal, regulatory, audit, operations or risk experience in a banking, broker-dealer or other regulated financial-services environment, or an equivalent combination of education and relevant experience.
- Hands-on experience across BSA/AML compliance, OFAC and sanctions compliance, and customer due diligence and onboarding controls.
- Ability to follow established procedures, evaluate supporting information, document work clearly, meet recurring deadlines and escalate issues promptly.
- Strong analytical, organizational, drafting and communication skills, with careful attention to detail and effective follow-through.
- Proficiency in Microsoft Office and the ability to learn and use compliance monitoring, screening, surveillance and recordkeeping systems.
Desired Qualifications
- A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, is preferred.
- Ability and willingness to obtain and maintain FINRA Series 7, 24, and SIE licenses.
Benefits
- $100,000 - $120,000 a year
Skills
About SEB
SEB is a leading northern European financial services group with a strong belief that entrepreneurial minds and innovative companies are key in creating a better world. SEB takes a long-term perspective and supports its customers in good times and bad. In Sweden and the Baltic countries, SEB offers financial advice and a wide range of financial services. In Denmark, Finland, Norway and Germany the bank's operations have a strong focus on corporate and investment banking based on a full-service offering to corporate and institutional clients.
Company
SEBJob Posted
3 days ago
Expires
in 2 weeks
Employment Type
Full Time
Work mode
Hybrid
Salary
US$100,000–120,000 / year
Experience Level
Senior
Locations
New York, United States
Qualification
Applicants
Be an early applicant
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