AVP, Senior Compliance Officer
Finans, bank och juridik · Juridiska tjänster · Regelefterlevnad · Riskhantering
I korthet
SEB söker en erfaren AVP, Senior Compliance Officer till sitt kontor i New York. Rollen innebär att stödja efterlevnadsramverket för New York Branch och fungera som Deputy AML Officer, med primärt ansvar för AML/BSA och OFAC-kontroller. Ansök senast 13 november 2026.
Ansvarsområden
- Develop, maintain and periodically review Branch compliance policies, procedures, risk assessments, control inventories and governance materials.
- Oversee and perform risk-based compliance monitoring and testing, including transaction-monitoring alerts and cases, investigations, dispositions, escalations, backlog and aging oversight, issue tracking and follow-up on corrective actions.
- Provide compliance and AML oversight for customer onboarding, risk ratings, due diligence, enhanced due diligence, periodic and event-driven reviews, conditional approvals and related documentation.
- Coordinate Branch AML and sanctions activities, including OFAC and name-screening reviews, sanctions advisory and escalation, transaction-screening quality reviews, FinCEN Section 314(a) processing, suspicious-activity investigations and reporting support, and required annual filings and certifications.
- Administer and review U.S. employee compliance controls, including brokerage-account activity, personal-account-dealing escalations, outside business activities, gifts and mail records, and related pre-clearance, monitoring and recordkeeping.
- Conduct regulatory and legal research and prepare memoranda, questionnaires, certifications, regulatory filings and responses to regulators, auditors and counterparties.
- Prepare accurate and timely reporting for management and governance forums on monitoring results, customer-review status, significant matters, remediation, overdue actions and resource constraints.
- Prepare and deliver annual and targeted compliance training and advise business and control functions on AML, sanctions, conduct and other compliance requirements.
- Coordinate with various departments on examinations, control enhancements, information requests and remediation.
- Perform assigned SEBSI broker-dealer compliance responsibilities, including monitoring and surveillance, regulatory filings and registrations, employee compliance, communications review, due diligence and sanctions controls, books and records, and support for supervisory reviews and examinations.
Krav
- Minimum of a bachelor’s degree and at least 5 years of relevant compliance, legal, regulatory, audit or risk experience in a banking, broker-dealer or other regulated financial-services environment.
- Substantial hands-on experience with BSA/AML and OFAC controls, customer due diligence, transaction monitoring or surveillance, investigations, regulatory filings, compliance testing, and support for audits or regulatory examinations.
- Strong working knowledge of applicable banking, broker-dealer and financial-services requirements, including employee compliance, AML, sanctions, SEC, FINRA and conduct-related controls.
- Proficiency in Microsoft Office and the ability to work with compliance monitoring, screening, surveillance and recordkeeping tools.
Önskade kvalifikationer
- Experience supporting broker-dealer compliance programs, supervisory procedures, regulatory registrations, communications or research review, surveillance, books and records, and examinations is strongly preferred.
- A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, is preferred.
- FINRA Series 7, 24 and SIE licenses preferred or willing and able to obtain and maintain these licenses.
- Strong analytical, organizational, drafting and communication skills.
Förmåner
- $140,000 - $170,000 a year
Färdigheter
Microsoft OfficeAMLOFACBSAFINRA
#compliance#risk#audit#legal#banking#broker-dealer#AML#BSA#OFAC#FINRA#SEC#New York
Om SEB
SEB is a leading northern European financial services group with a strong belief that entrepreneurial minds and innovative companies are key in creating a better world. SEB takes a long-term perspective and supports its customers in good times and bad. In Sweden and the Baltic countries, SEB offers financial advice and a wide range of financial services. In Denmark, Finland, Norway and Germany the bank's operations have a strong focus on corporate and investment banking based on a full-service offering to corporate and institutional clients.
Företag
SEBPublicerade jobb
för 4 dagar sedan
Upphör
om 2 veckor
Anställningstyp
Heltid
Arbetsform
Hybrid
Lön
140 000–170 000 US$ / år
Erfarenhetsnivå
Senior
Platser
New York, United States
Kvalifikation
Kandidatexamen
Sökande
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