Senior Analyst, Compliance Officer US

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 escalate 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 escalate 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 escalate 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.

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 .