Compliance Officer US

Group Compliance supports SEB's business being conducted in an ethical, sustainable, and compliant way for the benefit of SEB's customers, shareholders, and the society. We are looking for a Compliance Officer to join the Compliance department at SEB, New York. SEB has established both a branch and a broker dealer in New York.

About the role:

You will be a part of a team that is responsible for the development, coordination, and maintenance of SEB's compliance programs that ensure its compliance with applicable laws, rules and regulations both as a bank branch (SEB) and broker dealer (SEBSI). Additionally, you will assist with the development and maintenance of our comprehensive compliance training program for the SEB and SEBSI staff. You will primarily focus on support to the bank branch.

As a Compliance Officer, you will:

• Develop, periodically review, and maintain compliance policies and procedures to ensure adherence to applicable federal and state banking and securities laws, rules and regulations, and with applicable SEB Group Compliance requirements.
• Identify and contain BSA/AML compliance risks.
• Coordinate with the Chief Compliance Officer and the team to ensure that compliance issues are effectively addressed. Research and advise staff on regulatory events/changes.
• Periodic review and monitor compliance throughout business and support units. Support the organization to implement corrections and enhancements, as appropriate.
• Review staff brokerage statements, perform monitoring controls related to internal communication, sanction screening and transaction monitoring.
• Coordinate the distribution and processing of FinCEN's 314a lists on a bi-weekly basis.
• Maintain awareness and current knowledge of activities, organization structures, management changes, and product offerings of all departments within NY office.
• Research and prepare memoranda on existing and new laws and regulations, regulatory filings, and market events.
• From a compliance perspective, review internal legal documents, such as loan docs, contracts, vendor agreements, etc.
• Participate in firm exams, including FINRA, NY FRB, and NYDFS.
• Perform due diligence for new account openings.


To thrive in this role:


• As Compliance Officer, you must be self-driven, solution oriented, cooperative and focused on finding effective and compliant solutions. You are practical and hands-on, ready to tackle challenges directly and open to explore new ways of working. You enjoy working with others, sharing knowledge, and fostering a collaborative environment. You can handle a variety of regulatory and business issues, even in high-pressure, time-sensitive situations.
• Minimum of a bachelor's degree and at least 3 years of experience in corporate compliance and/or US broker dealer compliance. Experience from both areas is a plus.
• FINRA Series 7 and able to obtain other FINRA licenses and/or Compliance Certification from recognizable organizations preferred.
• Solid knowledge of federal, state, and local laws and regulations affecting foreign and domestic bank and preferably also broker dealer compliance.
• Ability to communicate with all levels of staff and management.


Ready to take the next step on your career journey?

We will select candidates on an ongoing basis, so feel free to send in your application today, but no later than 03/17/2025. If you have any questions about the position, please contact our Chief Compliance Officer, Stephen Conwell by email to stephen.conwell@sebny.com or Local HR at hrcommunitynyc@seb.se.

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

It is our fundamental belief that inclusion and diversity is crucial for our future success. We strive to have an inclusive, value-driven culture where employees feel valued, respected and involved irrespective of who they are, what they believe or where they come from.
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$110,000 - $150,000 a year