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SEB
SEB
कुशल कामगार वीज़ा प्रायोजकपरामर्शबीमाबैंकिंग
SEB एक उत्तरी यूरोपीय बैंकिंग समूह है, जो बड़ी कंपनियों, संस्थागत ग्राहकों और निवेशकों के साथ रणनीतिक वित्तीय साझेदार के रूप में काम करता है। इसकी सेवाओं में बैंकिंग, बीमा और परामर्श शामिल हैं, जिन्हें 20 देशों में स्थानीय उपस्थिति का समर्थन प्राप्त है। समूह जिम्मेदार वित्तीय सलाह, सतत रिटर्न और आर्थिक विकास तथा सामाजिक मूल्य में योगदान देने वाली पहलों पर जोर देता है। साथ ही, यह उस वित्तीय अवसंरचना का हिस्सा है जिस पर व्यवसाय और समाज निर्भर करते हैं।
LinkedIn
कंपनी की नौकरियाँ

Senior Compliance Officer, AML and Broker-Dealer

Support SEB’s New York Branch and SEBSI compliance programs, covering AML, sanctions, monitoring, regulatory reporting and broker-dealer controls.

USसंयुक्त राज्यNYन्यूयॉर्क
$1,40,000 – $1,70,000 / वर्ष
हाइब्रिडपूर्णकालिकवरिष्ठआवश्यक भाषा: अंग्रेज़ीअनुपालन

विवरण

  • Build and review Branch compliance policies, procedures, risk assessments, controls and governance materials.
  • Run risk-based compliance monitoring and testing, oversee transaction alerts and investigations, track escalations and corrective actions, and manage backlogs and aging issues.
  • Oversee compliance and AML checks for customer onboarding, risk ratings, due diligence, enhanced reviews, approvals and related records.
  • Coordinate Branch AML and sanctions work, including OFAC and name screening, sanctions advice and escalations, transaction-screening reviews, FinCEN Section 314(a) processing, suspicious-activity investigations and reporting, annual filings and certifications.
  • Serve as delegated Deputy AML Officer and trained backup for assigned AML/BSA and OFAC matters, escalating significant issues to the VP, Head of Compliance.
  • Manage U.S. employee compliance controls, including brokerage accounts, personal trading escalations, outside business activities, gifts, mail records, pre-clearance, monitoring and recordkeeping.
  • Research regulatory and legal issues; prepare memoranda, questionnaires, certifications, filings and responses for regulators, auditors and counterparties.
  • Prepare compliance reports for the VP, Head of Compliance, local management, Group Compliance and governance forums.
  • Deliver annual and targeted compliance training and advise business and control teams on compliance obligations.
  • Coordinate with front office, operations, client services, KYC, finance, technology, information security, legal, Group Compliance, internal and external audit, and independent reviewers.
  • Handle assigned SEBSI broker-dealer compliance work, including surveillance, filings and registrations, employee controls, research and communications reviews, due diligence, sanctions, records, and support for supervisory reviews and examinations.

आवश्यकताएँ

  • Bachelor’s degree required.
  • At least five years of relevant compliance, legal, regulatory, audit or risk experience in banking, broker-dealing or another regulated financial-services setting.
  • Substantial practical experience with BSA/AML and OFAC controls, customer due diligence, transaction monitoring or surveillance, investigations, regulatory filings, compliance testing, and audit or examination support.
  • Strong working knowledge of relevant banking, broker-dealer and financial-services rules, including employee compliance, AML, sanctions, SEC, FINRA and conduct controls.
  • Broker-dealer compliance experience covering supervisory procedures, registrations, communications or research review, surveillance, books and records, and examinations is strongly preferred.
  • CAMS or a comparable compliance, AML, sanctions, audit or risk certification is preferred.
  • FINRA Series 7, 24 and SIE licenses are preferred; candidates may also be willing and able to obtain and maintain them.
  • Strong analytical, organizational, writing and communication skills.
  • Proficiency with Microsoft Office.
  • Ability to use compliance monitoring, screening, surveillance and recordkeeping tools.

संबंधित नौकरियाँ

Marsh McLennan

National Employee Health and Benefits Compliance Consultant

Marsh McLennan
H1B वीज़ा प्रायोजककानूनीवित्तविपणन
USसंयुक्त राज्य
$89,500 – $1,66,900 / वर्ष
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Advise Marsh McLennan Agency clients on U.S. employee health and benefits compliance. Support compliance education, training, research, and client presentations.

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Stash

Senior Associate, Broker-Dealer Compliance at Stash

Stash
201 – 500 कर्मचारी
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$95,000 – $1,15,000 / वर्ष
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SQL

Support compliance across Stash’s investing and banking operations. Monitor broker-dealer controls, coordinate FINRA responses, and advise on customer disputes.

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Senior Compliance Officer – SEB New York

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कुशल कामगार वीज़ा प्रायोजकपरामर्शबीमाबैंकिंग
USसंयुक्त राज्यNYन्यूयॉर्क
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Support SEB’s New York Branch and broker-dealer compliance program through AML, sanctions, transaction monitoring, customer onboarding and regulatory controls.

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