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SEB
SEB
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SEB is a Northern European banking group that works with large companies, institutional clients, and investors as a strategic financial partner. Its services span banking, insurance, and consulting, supported by a local presence in 20 countries. The group emphasizes responsible financial advice, sustainable returns, and initiatives that contribute to economic growth and social value, while serving as part of the financial infrastructure relied on by businesses and society.
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Senior Compliance Officer – SEB New York

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

USUnited StatesNYNew York
$100,000 – $120,000 / year
HybridFull-timeSeniorEnglish RequiredCompliance

Description

  • Conduct risk-based compliance monitoring and testing for the Branch and SEBSI.
  • Review transaction-monitoring and surveillance alerts, gather information, document dispositions and follow up on outstanding requests.
  • Carry out customer onboarding, risk-rating, due diligence and periodic review controls, including completeness checks, sanctions screening and record maintenance.
  • Provide backup support for AML/BSA and OFAC controls, including customer due diligence, transaction monitoring, investigations, sanctions screening, regulatory reporting, testing, recordkeeping and remediation.
  • Review employee compliance matters and handle related administration, including brokerage and personal trading accounts, outside business activities, gifts and pre-clearance.
  • Support SEBSI broker-dealer compliance through registration administration, monitoring, surveillance, research or communications review, books and records, and examination preparation.
  • Manage system access, control calendars, evidence repositories and assigned records.
  • Research regulatory and legal matters and help draft compliance materials.
  • Prepare data and narrative updates for compliance reports.
  • Help develop and deliver compliance training and track completion.
  • Work with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance and assurance teams.
  • Maintain procedures and orderly handoffs, improve processes, and provide trained backup for recurring team controls.

Requirements

  • Bachelor’s degree and at least two years of relevant compliance, legal, regulatory, audit, operations or risk experience in banking, broker-dealer or another regulated financial-services setting, or an equivalent combination of education and experience.
  • Practical experience with BSA/AML compliance, OFAC and sanctions compliance, and customer due diligence and onboarding controls.
  • Ability to follow procedures, assess supporting information, document work clearly, meet recurring deadlines and promptly escalate issues.
  • Strong analytical, organizational, writing and communication skills, with attention to detail and reliable follow-through.
  • Proficiency with Microsoft Office and ability to learn compliance monitoring, screening, surveillance and recordkeeping systems.
  • Willingness and ability to obtain and maintain FINRA Series 7, Series 24 and SIE licenses.
  • A relevant credential such as CAMS or a comparable compliance, AML, sanctions, audit or risk certification is preferred.

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