Senior Analyst, Compliance Officer US

SEB; New York (NY); On-site; USD 100,000 - 120,000; Full time

Job summary

SEB in New York seeks a Senior Analyst, Compliance Officer to join Group Compliance. You will support NY Branch and SEBSI with day-to-day compliance operations, monitoring and testing, and ensure proper documentation and escalation of issues.

You will conduct onboarding, due diligence, sanctions screening and audits, while maintaining records and supporting training and policy development. A strong compliance mindset and 2+ years’ experience are required.

Qualifications

• Minimum bachelor’s degree with 2+ years in banking/compliance, regulatory, audit or risk.
• Hands-on experience in BSA/AML, OFAC sanctions and customer due diligence.
• Ability to follow procedures, document work clearly and meet deadlines.
• Proficiency with MS Office; FINRA licenses or CAMS preferred.

Responsibilities

• Perform risk-based compliance monitoring and testing for Branch and SEBSI; document conclusions.
• Conduct transaction monitoring, surveillance and escalation of exceptions.
• Execute customer onboarding, risk-rating, due diligence and periodic reviews.
• Support AML/BSA and OFAC controls, investigations and regulatory reporting.
• Oversee employee compliance reviews and records; assist broker-dealer compliance.
• Maintain system access, calendars, evidence repositories and records.
• Prepare regulatory updates, data updates and compliance reporting.

Skills

Compliance monitoring

Risk management

Documentation

Analytical skills

Education

Bachelor's degree

Tools

Microsoft Office

Job description

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 a Senior Analyst, 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 emphasis on the day-to-day operation of the Branch compliance framework.

About the role:

Reporting to the VP, Head of Compliance and working with senior compliance colleagues, you will independently execute assigned recurring controls and day-to-day compliance activities across the New York Branch and SEB Securities, Inc. (SEBSI) within established procedures. The role includes monitoring, customer and employee compliance reviews, regulatory administration, research, reporting, training support and maintenance of policies, procedures and records, and serves as trained backup for designated recurring team controls. Complex judgments, material exceptions, final approvals, supervisory decisions and matters requiring delegated authority remain with the VP, Head of Compliance or an appropriately designated senior compliance officer.

As a Senior Analyst, Compliance Officer, you will:

• Perform assigned risk-based compliance monitoring and testing for the Branch and SEBSI, document the work completed and conclusions reached, track exceptions, and elevate potential breaches, control gaps and overdue actions.
• Independently perform assigned transaction-monitoring and surveillance activities within approved procedures, including reviewing alerts, gathering information, preparing clear disposition records, monitoring aging and following up on open requests, with prompt escalation of exceptions and matters requiring judgment beyond assigned authority.
• Independently execute assigned customer onboarding, risk-rating, due-diligence and periodic-review controls for Branch and SEBSI customers within established procedures, including completeness checks, sanctions screening, record maintenance and prompt escalation of deficiencies, exceptions and higher-risk matters.
• Perform and provide trained backup coverage for assigned AML/BSA and OFAC controls across the New York Branch and SEBSI, including customer due diligence and reviews, transaction monitoring and investigations, sanctions and name screening, escalations, regulatory reporting support, testing, recordkeeping and remediation, in accordance with each entity's procedures and the role's documented authority.
• Perform assigned employee compliance reviews and administrative activities, including brokerage-account and personal-account-dealing reviews, outside business activities, gifts and related pre-clearance, monitoring, follow-up and recordkeeping.
• Support assigned SEBSI broker-dealer compliance activities under supervisory procedures, including registration-related administration and recordkeeping, monitoring and surveillance, research or communications review, due-diligence and sanctions controls, books and records, and examination support.
• Maintain required system access, control calendars, evidence repositories and records for assigned responsibilities, and promptly communicate access, capacity and deadline risks.
• Conduct regulatory and legal research and assist in drafting policies, procedures, memoranda, questionnaires, certifications, regulatory responses and other compliance materials for review.
• Prepare accurate and timely data and narrative updates for compliance reporting, including monitoring results, customer-review status, regulatory developments, open issues, remediation progress and overdue actions.
• Help prepare and administer annual and targeted compliance training, maintain completion records, follow up on overdue items and respond to routine questions, escalating interpretive or higher-risk matters as appropriate.
• Work with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance and assurance functions to obtain information, complete assigned follow-up and support established audit, examination and remediation processes, escalating unresolved or material matters to senior Compliance colleagues.
• Maintain current procedures and orderly handoffs for assigned responsibilities, contribute to process improvements, and serve as trained backup by independently executing designated recurring team controls within established procedures, escalating exceptions and matters outside assigned authority.

To thrive in this role:

You are a developing compliance professional with high integrity, sound judgment within established procedures and strong attention to detail. You can reliably execute recurring controls, document your work clearly, meet deadlines and elevate issues promptly. You are practical, collaborative and willing to build broader banking and broker-dealer compliance expertise while seeking guidance when matters exceed your assigned authority or experience.

• Minimum bachelor's degree with 2 or more years of relevant compliance, legal, regulatory, audit, operations or risk experience in a banking, broker-dealer or other regulated financial-services environment, or an equivalent combination of education and relevant experience.
• Hands-on experience across all three of the following areas is required: BSA/AML compliance, OFAC and sanctions compliance, and customer due diligence and onboarding controls. Experience should include executing assigned reviews or controls, documenting conclusions, identifying issues and escalating approvals, material exceptions, interpretive matters and supervisory decisions in accordance with established procedures and delegated authority.
• Ability to follow established procedures, evaluate supporting information, document work clearly, meet recurring deadlines and elevate issues promptly.
• Strong analytical, organizational, drafting and communication skills, with careful attention to detail and effective follow-through.
• Proficiency in Microsoft Office and the ability to learn and use compliance monitoring, screening, surveillance and recordkeeping systems.
• A relevant professional certification, such as CAMS or a comparable compliance, AML, sanctions, audit or risk credential, is preferred.
• Ability and willingness to obtain and maintain FINRA Series 7, 24, and SIE licenses.

$100,000 - $120,000 a year