AVP, Senior Compliance 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

Audit, Risk, Compliance & Legal Group Control functions

Location:

New York

hybrid:

hybrid

Group Compliance supports SEB in conducting its business ethically, sustainably and in accordance with applicable requirements for the benefit of SEB’s customers, shareholders and society. We are seeking an AVP, Senior Compliance Officer to join the Compliance department in New York. The role supports both SEB’s New York Branch and SEB Securities, Inc. (SEBSI), with primary responsibility for the Branch compliance framework and service as Deputy AML Officer.

About the role:

Reporting to the VP, Head of Compliance, you will operate with substantial independence across the New York Branch compliance framework and serve as Deputy AML Officer and designated trained backup to the VP, Head of Compliance for assigned AML/BSA and OFAC controls across both the New York Branch and SEB Securities, Inc. (SEBSI). The Deputy AML Officer designation applies to responsibilities expressly delegated under each entity’s approved procedures and the role’s documented authority; material matters remain subject to escalation to the VP, Head of Compliance. You will own complex recurring controls and deadline-driven deliverables involving transaction monitoring, customer due diligence, sanctions, regulatory reporting, employee compliance, training and governance. You will also perform assigned SEBSI broker-dealer compliance responsibilities under applicable supervisory procedures and delegated authority.

As an AVP, Senior Compliance Officer, you will:

• Develop, maintain and periodically review Branch compliance policies, procedures, risk assessments, control inventories and governance materials in line with applicable federal, state and internal requirements.
• Oversee and perform risk-based compliance monitoring and testing, including transaction-monitoring alerts and cases, investigations, dispositions, escalations, backlog and aging oversight, issue tracking and follow-up on corrective actions.
• Provide compliance and AML oversight for customer onboarding, risk ratings, due diligence, enhanced due diligence, periodic and event-driven reviews, conditional approvals and related documentation for Branch and SEBSI customers.
• Coordinate Branch AML and sanctions activities, including OFAC and name-screening reviews, sanctions advisory and escalation, transaction-screening quality reviews, FinCEN Section 314(a) processing, suspicious-activity investigations and reporting support, and required annual filings and certifications.
• Within the scope expressly delegated under applicable Branch and SEBSI procedures and the role’s documented authority, exercise Deputy AML Officer and trained backup responsibilities for assigned AML/BSA and OFAC matters, including alert and case dispositions, customer onboarding and due diligence decisions, escalation of potentially suspicious activity, sanctions and name-screening reviews, and preparation or quality review of required regulatory reports; escalate material matters to the VP, Head of Compliance.
• Administer and review U.S. employee compliance controls, including brokerage-account activity, personal-account-dealing escalations, outside business activities, gifts and mail records, and related pre-clearance, monitoring and recordkeeping.
• Conduct regulatory and legal research and prepare memoranda, questionnaires, certifications, regulatory filings and responses to regulators, auditors and counterparties.
• Prepare accurate and timely reporting for the VP, Head of Compliance, local management, Group Compliance and governance forums on monitoring results, customer-review status, significant matters, remediation, overdue actions and resource constraints.
• Prepare and deliver annual and targeted compliance training and advise business and control functions on AML, sanctions, conduct and other compliance requirements.
• Coordinate with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance, internal audit, external audit and independent review functions on examinations, control enhancements, information requests and remediation.
• Perform assigned SEBSI broker-dealer compliance responsibilities, including monitoring and surveillance, regulatory filings and registrations, employee compliance, research and communications review, due diligence and sanctions controls, books and records, and support for supervisory reviews and examinations.

To thrive in this role:

You are a seasoned compliance professional with high integrity, sound judgment and strong attention to detail. You can independently manage complex recurring controls and multiple deadlines, clearly document and escalation of issues, and build credibility across business, compliance and control functions. You are practical, collaborative and comfortable operating in a fast-paced regulated environment while maintaining appropriate challenge and oversight.

• 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.
• Strong analytical, organizational, drafting and communication skills, with proficiency in Microsoft Office and the ability to work with compliance monitoring, screening, surveillance and recordkeeping tools.

David Fernandez, [e-mail] and/or [e-mail]

Learn more about working at SEB: www.sebgroup.com/career .