AVP, Senior Compliance & AML Officer

Skandinaviska Enskilda Banken AB; New York (NY); Hybrid; USD 140,000 - 190,000; Full time

Job summary

Skandinaviska Enskilda Banken AB in New York is seeking an AVP, Senior Compliance Officer to join the Compliance department for the New York Branch and SEB Securities, Inc. You will serve as Deputy AML Officer, oversee complex AML/Compliance controls and related governance across both entities.

You will manage risk-based monitoring, onboarding due diligence, sanctions, and regulatory filings, while coordinating with cross-functional teams and delivering training.

Qualifications

• Minimum of a bachelor’s degree and at least 5 years of relevant compliance, legal, regulatory, audit or risk experience in a banking, broker-dealer or other regulated financial-services environment.
• Substantial hands-on experience with BSA/AML and OFAC controls, customer due diligence, transaction monitoring or surveillance, investigations, regulatory filings, compliance testing, and support for audits or regulatory examinations.
• Strong working knowledge of applicable banking, broker-dealer and financial-services requirements, including employee compliance, AML, sanctions, SEC, FINRA and conduct-related controls.
• Experience supporting broker-dealer compliance programs, supervisory procedures, regulatory registrations, communications or research review, surveillance, books and records, and examinations is strongly preferred.
• A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, is preferred.
• FINRA Series 7, 24 and SIE licenses preferred or willing and able to obtain and maintain these licenses.

Responsibilities

• Develop and maintain Branch compliance policies and risk assessments.
• Oversee risk-based compliance monitoring and testing.
• Provide AML oversight for onboarding, due diligence and reviews.
• Coordinate Branch AML and sanctions activities including OFAC reviews.
• Within delegated scope, exercise Deputy AML Officer responsibilities and escalation of potentially suspicious activity.
• Administer employee compliance controls and related recordkeeping.
• Conduct regulatory and legal research and prepare memoranda and filings.
• Prepare timely reporting for governance forums and regulators.
• Coordinate with various functions on examinations and remediation.
• Perform broker-dealer compliance responsibilities for SEBSI communications and registrations.

Skills

BSA/AML controls

OFAC controls

Customer due diligence

Regulatory reporting

Investigations

Compliance testing

Education

Bachelor's degree

Tools

MS Office

Job description

Skandinaviska Enskilda Banken AB in New York is seeking an AVP, Senior Compliance Officer to join the Compliance department for the New York Branch and SEB Securities, Inc. You will serve as Deputy AML Officer, oversee complex AML/Compliance controls and related governance across both entities.

You will manage risk-based monitoring, onboarding due diligence, sanctions, and regulatory filings, while coordinating with cross-functional teams and delivering training.