Compliance Monitoring Officer, SEI
3-5 days a week in office
Technology and investment solutions
Posted today
Technology and investment solutions
1001+ employees
Posted today
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
- Experience in a compliance department and compliance monitoring is essential
- Minimum 5+years’ experience in compliance monitoring, internal audit and/or working in a Compliance function, preferably in the Fund Administrator/Depositary sector
- Experience of working with Fund Administrator and Depositary regulatory requirements would be preferable
- Good technical abilities and knowledge of applicable regulations (UCITS, AIFMD, SI10)
- Familiarity with investment and regulatory issues facing the Irish Funds industry and significant investment industry experience
- People and Project management experience
- Professional qualification (ACOI or other relevant discipline) would be preferable
- Knowledge of the Fund Services Providers industry
- Knowledge / awareness of applicable laws, rules and standards
- Strong oral and written communication skills
- Capable of executing a range of tasks and analysis
- Proactive approach to tasks and assignment
- Ability to perform effectively and independently and meeting strict deadlines
- Positive “can do” attitude with excellent problem-solving skills
- Detail-oriented
- P.C. proficient, particularly regarding Excel, Word
- Ability to multi-task, prioritise work and manage time to maximise efficiency and to meet strict deadlines
What the job involves
- The successful candidate will be responsible for leading the Compliance Monitoring function for GFSL and D&C and ensure there is a comprehensive Compliance Monitoring Plan in place for both entities
- Reporting into the Chief Compliance Officer, the candidate must have an advanced understanding of the fund industry in Ireland and the regulatory environment
- Support the Chief Compliance Officer with conducting, documenting and reporting on the compliance monitoring programme and follow-up implementation of findings/recommendations
- Undertake and promptly complete Compliance monitoring reviews, including thematic and desk-based periodic reviews
- Ensure the completeness of evidence gathered and record keeping associated with the testing, upon which findings and conclusions are clearly based
- Produce and effectively communicate (verbally and in writing) findings in respect of compliance monitoring activities which are of high-quality, comprehensive, and thoroughly considered from all relevant angles
- Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements
- Preparation of periodic compliance reports to the Board of Directors of the Irish regulated entities
- Provide support in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan
- Assist the Chief Compliance Officer in implementing and reviewing the Compliance Plan and other relevant procedures to ensure staff are aware of the role of the Compliance function and their role in ensuring the relevant Company acts in a manner compliant with regulation
- Provide assistance and support to the business in relation to regulatory and ad-hoc compliance queries
- Maintain and administer compliance policies and procedures for the SEI Dublin’s current business activities and future developments
- Other duties and ad-hoc compliance projects / tasks as required
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
Insights
Few candidates hear
back within 2 weeks
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.
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