Senior Analyst, Compliance Officer US

SEB•New York, NY

7d•$100,000 - $120,000

About The Position

Group Compliance supports SEB in conducting its business ethically, sustainably and in accordance with applicable requirements for the benefit of SEB’s customers, shareholders and society. SEB is seeking a Senior Analyst, Compliance Officer to join the Compliance department in New York. The role supports SEB’s New York Branch and SEB Securities, Inc. (SEBSI), with primary emphasis on the day-to-day operation of the Branch compliance framework. Reporting to the VP, Head of Compliance and working with senior compliance colleagues, the position independently executes assigned recurring controls and day-to-day compliance activities across the New York Branch and SEBSI within established procedures. Activities include monitoring, customer and employee compliance reviews, regulatory administration, research, reporting, training support, and maintenance of policies, procedures and records. The role also provides trained backup for designated recurring team controls. Complex judgments, material exceptions, final approvals, supervisory decisions and matters requiring delegated authority remain with the VP, Head of Compliance or an appropriately designated senior compliance officer.

Requirements

Minimum bachelor’s degree, with at least 2 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 in BSA/AML compliance, OFAC and sanctions compliance, and customer due diligence and onboarding controls.
Experience executing assigned reviews or controls, documenting conclusions, identifying issues, and escalating approvals, material exceptions, interpretive matters and supervisory decisions in accordance with established procedures and delegated authority.
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, attention to detail and effective follow-through.
Proficiency in Microsoft Office and ability to learn and use compliance monitoring, screening, surveillance and recordkeeping systems.
Ability and willingness to obtain and maintain FINRA Series 7, 24 and SIE licenses.

Nice To Haves

A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential.

Responsibilities

Perform risk-based compliance monitoring and testing for the Branch and SEBSI; document work and conclusions, track exceptions, and escalate potential breaches, control gaps and overdue actions.
Execute assigned transaction-monitoring and surveillance activities within approved procedures, including reviewing alerts, gathering information, preparing disposition records, monitoring aging and following up on open requests.
Execute assigned customer onboarding, risk-rating, due-diligence and periodic-review controls, including completeness checks, sanctions screening and record maintenance; escalate deficiencies, exceptions and higher-risk matters.
Perform and provide trained backup coverage for assigned AML/BSA and OFAC controls, including customer due diligence and reviews, transaction monitoring and investigations, sanctions and name screening, escalations, regulatory reporting support, testing, recordkeeping and remediation.
Perform assigned employee compliance reviews and administration, including brokerage-account and personal-account-dealing reviews, outside business activities, gifts, pre-clearance, monitoring, follow-up and recordkeeping.
Support assigned SEBSI broker-dealer compliance activities under supervisory procedures, including registration-related administration and recordkeeping, monitoring and surveillance, research or communications review, due-diligence and sanctions controls, books and records, and examination support.
Maintain system access, control calendars, evidence repositories and records for assigned responsibilities, and communicate access, capacity and deadline risks.
Conduct regulatory and legal research and assist in drafting policies, procedures, memoranda, questionnaires, certifications, regulatory responses and other compliance materials for review.
Prepare accurate and timely data and narrative updates for compliance reporting, including monitoring results, customer-review status, regulatory developments, open issues, remediation progress and overdue actions.
Help prepare and administer annual and targeted compliance training, maintain completion records, follow up on overdue items and respond to routine questions; escalate interpretive or higher-risk matters.
Work with internal business, operational, technology, legal, compliance and assurance functions to obtain information, complete follow-up, and support audit, examination and remediation processes; escalate unresolved or material matters.
Maintain current procedures and orderly handoffs, contribute to process improvements, and independently execute designated recurring team controls as trained backup within established procedures.