LogoFresh Jobs Ahead
SEB
SEB
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.
LinkedIn
Delovna mesta v podjetju

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.

USZdružene države AmerikeNYNew York
100.000 $ – 120.000 $ / leto
HibridnoPolni delovni časSeniorZahtevani Jezik: angleščinaSkladnost

Opis

  • 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.

Zahteve

  • 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.

Sorodna delovna mesta