AVP, Senior Compliance Officer

SEB•New York, NY

1d•$140,000 - $170,000

About The Position

Group Compliance supports SEB in conducting its business ethically, sustainably, and in accordance with applicable requirements. The AVP, Senior Compliance Officer joins the Compliance department in New York and supports both SEB’s New York Branch and SEB Securities, Inc. (SEBSI), with primary responsibility for the Branch compliance framework and service as Deputy AML Officer. Reporting to the VP, Head of Compliance, the role operates with substantial independence across the New York Branch compliance framework and serves as Deputy AML Officer and designated trained backup for assigned AML/BSA and OFAC controls across the Branch and SEBSI. Deputy AML Officer responsibilities are limited to those expressly delegated under each entity’s approved procedures and the role’s documented authority; material matters must be escalated to the VP, Head of Compliance. The position owns complex recurring controls and deadline-driven deliverables involving transaction monitoring, customer due diligence, sanctions, regulatory reporting, employee compliance, training, and governance. It also performs assigned SEBSI broker-dealer compliance responsibilities under applicable supervisory procedures and delegated authority.

Requirements

Bachelor’s degree and at least 5 years of relevant compliance, legal, regulatory, audit, or risk experience in banking, broker-dealer, or another 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.
Strong analytical, organizational, drafting, and communication skills.
Proficiency in Microsoft Office and ability to work with compliance monitoring, screening, surveillance, and recordkeeping tools.
High integrity, sound judgment, and strong attention to detail; ability to independently manage complex recurring controls and multiple deadlines, document and escalate issues clearly, and build credibility across business, compliance, and control functions.
Practical, collaborative approach and comfort working in a fast-paced regulated environment while maintaining appropriate challenge and oversight.
FINRA Series 7, 24, and SIE licenses, or willingness and ability to obtain and maintain these licenses.

Nice To Haves

Experience supporting broker-dealer compliance programs, supervisory procedures, regulatory registrations, communications or research review, surveillance, books and records, and examinations.
Relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit, or risk credential.
FINRA Series 7, 24, and SIE licenses are preferred.

Responsibilities

Develop, maintain, and periodically review Branch compliance policies, procedures, risk assessments, control inventories, and governance materials in line with applicable federal, state, and internal requirements.
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 corrective-action follow-up.
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 for Branch and SEBSI customers.
Coordinate Branch AML and sanctions activities, including OFAC and name-screening reviews, sanctions advice and escalation, transaction-screening quality reviews, FinCEN Section 314(a) processing, suspicious-activity investigations and reporting support, and required annual filings and certifications.
Within expressly delegated authority, perform Deputy AML Officer and trained-backup responsibilities for assigned AML/BSA and OFAC matters, including alert and case dispositions, customer onboarding and due-diligence decisions, escalation of potentially suspicious activity, sanctions and name-screening reviews, and preparation or quality review of regulatory reports; escalate material matters to the VP, Head of Compliance.
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 the VP, Head of Compliance, local management, Group Compliance, 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 Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance, internal audit, external audit, and independent review functions 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, research and communications review, due diligence and sanctions controls, books and records, and support for supervisory reviews and examinations.