🕒 4 days ago
Scale financial crime compliance systems by partnering with Engineering to evaluate AI tools, build repeatable testing and labeling workflows, and govern automated decisions across transaction monitoring, sanctions, fraud, and EDD.
AVP, Senior Compliance Officer
🕒 yesterday
BSA/AML ComplianceOFAC SanctionsCustomer Due DiligenceTransaction Monitoring
📜 Description
- Maintain Branch compliance policies, procedures, risk assessments, control inventories, and governance materials.
- Conduct risk-based monitoring and testing, investigate alerts and cases, track issues, and follow up on corrective actions.
- Oversee customer onboarding, risk ratings, due diligence, enhanced reviews, and related documentation for Branch and SEBSI customers.
- Perform delegated Deputy AML Officer and SEBSI broker-dealer compliance duties, escalating material matters to the VP, Head of Compliance.
- Prepare compliance reporting and training, conduct regulatory research, and coordinate examinations, audits, control enhancements, and remediation.
🛠️ Requirements
- Bachelor’s degree and at least 5 years of relevant compliance, legal, regulatory, audit, or risk experience in financial services or another regulated environment.
- Hands-on experience with BSA/AML and OFAC controls, customer due diligence, transaction monitoring or surveillance, investigations, regulatory filings, and compliance testing.
- Working knowledge of banking, broker-dealer, and financial-services requirements, including SEC, FINRA, sanctions, AML, and employee compliance.
- Broker-dealer compliance program experience is strongly preferred; CAMS or a comparable credential is preferred.
- FINRA Series 7, 24, and SIE licenses preferred, or willingness and ability to obtain and maintain them.
- Strong analytical, organizational, drafting, and communication skills; proficiency in Microsoft Office and ability to use compliance monitoring, screening, surveillance, and recordkeeping tools.
- Coordinate AML and sanctions controls, including OFAC screening, suspicious-activity investigations, regulatory reporting, and required filings.
Full 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 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:
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 escalate 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.
Feeling ready to apply?
We welcome your application as soon as possible, but no later than November 13, 2026. The selection of candidates will be ongoing. If you have any questions about the position, please contact the VP, Head of Compliance, David Fernandez, david.fernandez@sebny.com and/or HRCommunityNYC@seb.se.
Learn more about working at SEB: www.sebgroup.com/career.
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