AVP, Senior Compliance Officer

SEB•New York, NY

3d•Onsite

About The Position

SEB is seeking an AVP, Senior Compliance Officer for its Compliance department in New York. The role supports 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 position operates with substantial independence across the Branch framework and serves as a designated, trained backup for assigned AML/BSA and OFAC controls across both entities. Deputy AML Officer responsibilities are limited to those expressly delegated under approved procedures and documented authority; material matters must be escalated to the VP, Head of Compliance. The role owns complex recurring controls and deadline-driven work 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. The successful candidate will be a seasoned compliance professional with integrity, sound judgment and attention to detail, able to manage complex controls and multiple deadlines independently, document and escalate issues clearly, and work collaboratively across business, compliance and control functions in a fast-paced regulated environment. The annual salary range is $140,000–$170,000. Applications are welcomed as soon as possible and must be submitted no later than November 13, 2026; candidate selection is ongoing.

Requirements

Bachelor’s degree or higher.
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 audit or regulatory-examination support.
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 attention to detail; ability to independently manage complex recurring controls and multiple deadlines, document and escalate issues, and collaborate across business, compliance and control functions.

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, or willingness and ability to obtain and maintain them.

Responsibilities

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 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.
Exercise assigned Deputy AML Officer and trained-backup responsibilities within expressly delegated authority, including alert and case dispositions, 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, 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 timely and accurate 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.