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Malakali ishchi vizasi homiysiBank ishiKonsaltingSug‘urta
SEB yirik kompaniyalar, institutsional mijozlar va investorlar bilan strategik moliyaviy hamkor sifatida ishlaydigan Shimoliy Yevropa bank guruhidir. Uning xizmatlari 20 mamlakatdagi mahalliy faoliyati bilan qo‘llab-quvvatlanadigan bank, sug‘urta va konsalting yo‘nalishlarini qamrab oladi. Guruh mas’uliyatli moliyaviy maslahat, barqaror daromad hamda iqtisodiy o‘sish va ijtimoiy qadriyatga hissa qo‘shadigan tashabbuslarni ta’kidlaydi, shu bilan birga biznes va jamiyat tayanadigan moliyaviy infratuzilmaning bir qismi sifatida faoliyat yuritadi.
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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.

USAmerika Qo‘shma ShtatlariNYNyu-York
140 000 $ – 170 000 $ / yil
GibridTo‘liq stavkaSeniorTalab Qilinadigan Til: inglizchaMuvofiqlik

Tavsif

  • 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.

Talablar

  • 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.

O‘xshash ish o‘rinlari