Global Regulatory Risk and Compliance Specialist, SEI
+ Employee Share Participation Scheme
3-5 days a week in office
Technology and investment solutions
Be an early applicant
Technology and investment solutions
1001+ employees
Be an early applicant
+ Employee Share Participation Scheme
3-5 days a week in office
1001+ employees
Company mission
To build brave futures through the power of connection, working with clients and communities to solve the problems that matter.
Role
Who you are
- Minimum of 2 years’ experience in a Fund Accounting OR Financial Reporting role
- Experience with Sungard InvestOne, InvestTier, Investran and SS&C Advent Geneva systems
- BA / BS in Business, Accounting, Finance, Economics, Mathematics or equivalent work experience
- Strong knowledge of financial, investment industry, especially derivatives
- Intermediate skills in Microsoft Excel
- The self-motivation and drive to monitor multiple client deliverables without sacrificing excellence or quality
- Strong customer service skills as you will be communicating daily with internal and external clients
- Excellent interpersonal and customer service skills
- Strong organizational and administrative skills
- Ability to multi-task, prioritise work and manage time to maximize efficiency and to meet strict deadlines
- Strong oral and written communication skills
- Fluency in English Language (both verbal and written) essential
- Individual who takes initiative and ownership of assigned responsibilities
- Train, coach and mentor employees on the team where appropriate
- Positive ‘can do’ attitude with excellent problem solving skills
- Detail-oriented
- Team player
- Flexible / Adaptable
What the job involves
- SEI is seeking a Specialist for our Regulatory Services (RS) team
- Our primary goal is to ensure the successful and accurate completion of certain compliance and administrative servicing requirements for investment manager products for assigned funds
- As a Specialist, you will review data being provided by SEI to complete regulatory filings and post-trade compliance notices
- Serve as the main point of contact and subject matter expert for internal and external clients, regarding regulatory reporting requirements and Investment Advisor compliance
- Research regulatory requirements and interpret regulations for various funds and monitor U.S. government laws and industry updates; keeping abreast of any changes
- Act as a project manager for various filing schedules, in support of the regulatory process:
- Create and communicate timelines to the appropriate internal and external clients, for each filing production cycle
- Facilitate kick-off meetings for each scheduled filing period, so that internal and external clients are aware of expectations
- Liaise among SEI’s internal support teams to ensure efficient and timely reporting
- Respond promptly to client questions and inquiries regarding the various requirements and data points for regulatory filings. Identify and resolve issues and errors on a timely basis, with appropriate documentation and escalation
- Work to create efficiencies and improvements to existing processes and work to develop and/or enhance and document team procedures for various client-specific tasks and other functions, as dictated by the services offered by the RS team
- Test the regulatory reporting module enhancements, as part of the on-going release process. Your due diligence and attention to detail during the testing process will be key to your team’s success, while striving for error-free reporting
- Carry out all duties assigned to your role under the Company’s Safety Statement, to ensure Health, Safety and Well-being for all employees for whom you have responsibility
- Adhoc tasks / projects as required
Application process
- End Date: February 14, 2025
Our take
SEI provides technology and investment solutions for the financial services industry by offering services like investment processing and operations management. The company oversees around $1.5T in assets, helping clients make smart financial decisions.
It also offers customized investment portfolios through managed accounts, allowing investors to tailor their strategies. Its technology helps clients optimize taxes and provides detailed reports on tax savings, making the service valuable for financial advisors and investors.
Recently the company added new features to its platform, enabling wealth managers to see a complete view of their clients' finances, as well as assets held elsewhere. These updates have driven growth in SEI's managed accounting, placing the company well for continued success.
Kirsty
Company Specialist at Welcome to the Jungle
Company
Company benefits
- Reach your goals with retirement and stock purchase plans: Plan for the future with our capital accumulation plan 401(k), employee stock purchase plan, and employee investment program
- Resources to help you further your professional development: Our Education Assistance Program helps our employees in learning and furthering their professional development
- Generous time off, help for families, and work-life assistance: Employees need balance to be their best, so we provide plenty of time away from the office. We also help families with an onsite Family Center (Oaks location) and life management assistance programs
Company values
- Courage: We think and act like owners, embracing risk to drive growth for our clients and company
- Integrity: We do what we say and act with transparency (because it's the right thing to do)
- Collaboration: We work with each other, our clients, partners, and communities to solve problems that matter
- Inclusion: We nurture an environment of respect and belonging where people are empowered to be themselves
- Connection: We build lasting relationships through which we learn, grow, and succeed
- Fun: We have fun
Company HQ
Upper Providence Township, Oaks, PA
Articles
Leadership
Ryan Hicke
(CEO)Ryan has worked at SEI since 1998, initially joining the company as an Account Executive. Since then, they have worked in several roles, including Managing Director of UK IFAs and Global Wealth Services, and Senior/Executive Vice President, before becoming the CEO in 2022.
Salary benchmarks
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