Senior Analyst, Compliance Officer US

SEB•New York, NY

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 for its Compliance department in New York. The position supports both SEB’s New York Branch and SEB Securities, Inc. (SEBSI), with primary emphasis on operating the Branch compliance framework day to day. Reporting to the VP, Head of Compliance and working with senior compliance colleagues, the Senior Analyst independently executes assigned recurring controls and day-to-day compliance activities within established procedures. The work includes monitoring, customer and employee compliance reviews, regulatory administration, research, reporting, training support, and maintaining 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. The successful candidate is a developing compliance professional with high integrity, sound judgment within established procedures and strong attention to detail. They can execute recurring controls reliably, document work clearly, meet deadlines and promptly escalate issues. The role requires practical collaboration and a willingness to build broader banking and broker-dealer compliance expertise while seeking guidance when matters exceed assigned authority or experience. The position requires a minimum bachelor’s degree and at least two years of relevant experience in compliance, legal, regulatory, audit, operations or risk 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 is required. The candidate must be able and willing to obtain and maintain FINRA Series 7, 24 and SIE licenses. A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, is preferred. The stated salary range is $100,000–$120,000 per year. Applications are welcomed as soon as possible and no later than November 13, 2026; candidate selection is ongoing.

Requirements

Minimum bachelor’s degree, or an equivalent combination of education and relevant experience.
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 equivalent relevant experience.
Hands-on experience in all three required areas: 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 promptly escalate issues.
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.
High integrity, sound judgment within established procedures, collaborative approach, and willingness to seek guidance on matters outside assigned authority or experience.

Nice To Haves

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

Responsibilities

Perform assigned 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, following up on open requests and escalating exceptions or matters requiring judgment beyond assigned authority.
Execute assigned customer onboarding, risk-rating, due-diligence and periodic-review controls for Branch and SEBSI customers, including completeness checks, sanctions screening, record maintenance and escalation of deficiencies, exceptions and higher-risk matters.
Perform and provide trained backup coverage for assigned AML/BSA and OFAC controls across the New York Branch and SEBSI, 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 administrative activities, including brokerage-account and personal-account-dealing reviews, outside business activities, gifts and related 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 required system access, control calendars, evidence repositories and records for assigned responsibilities, and promptly 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, escalating interpretive or higher-risk matters as appropriate.
Work with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance and assurance functions to obtain information, complete assigned follow-up and support audit, examination and remediation processes; escalate unresolved or material matters to senior Compliance colleagues.
Maintain current procedures and orderly handoffs for assigned responsibilities, contribute to process improvements, and serve as trained backup by independently executing designated recurring team controls within established procedures and escalating exceptions or matters outside assigned authority.