AVP Senior Compliance Officer

Salary Range: 140000 to 170000 (Currency: USD) (Pay period: per-year-salary)

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 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.

• 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.
 

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, [email protected] and/or [email protected].

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