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Sponzor vizuma za kvalificirane delavceBančništvoSvetovanjeZavarovanje
SEB je severnoevropska bančna skupina, ki sodeluje z velikimi podjetji, institucionalnimi strankami in vlagatelji kot strateški finančni partner. Njene storitve obsegajo bančništvo, zavarovanje in svetovanje, podpirajo pa jih lokalne prisotnosti v 20 državah. Skupina poudarja odgovorno finančno svetovanje, trajnostne donose in pobude, ki prispevajo h gospodarski rasti in družbeni vrednosti, hkrati pa je del finančne infrastrukture, na katero se zanašajo podjetja in družba.
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Delovna mesta v podjetju

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.

USZdružene države AmerikeNYNew York
140.000 $ – 170.000 $ / leto
HibridnoPolni delovni časSeniorZahtevani Jezik: angleščinaSkladnost

Opis

  • 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.

Zahteve

  • 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.

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