Senior Compliance Monitoring Officer, SEI
3-5 days a week in office
Technology and investment solutions
Open for applications
Technology and investment solutions
1001+ employees
Open for applications
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
- 5+ years' experience in compliance monitoring, internal audit and/or working in a Compliance function, preferably in the asset or wealth management sector
- You are a well-rounded financial services compliance professional with a solid understanding of FCA (Financial Conduct Authority) rules and guidance, including Consumer Duty, MiFiD regulations, fund products, particularly UCITS, and regulatory frameworks systems and controls, SMCR (Senior Managers and Certification Regime) and Market Abuse Regulations
- Effective communication skills – written and oral
- Sound analytical mindset and problem-solving skills
- Proven task and project management skills with the ability to prioritize tasks, manage multiple projects simultaneously, and meet deadlines
- Proven skills in building relationships with key stakeholders
- Adequate IT (Information Technology) skills
- Hardworking
- Smart
- Effective
- Solution-Oriented
- Team Player
- High Integrity/Ethics
- Good Communicator/Listener
- Sound Judgment
- Dedicated to Self-Improvement
- Self-Aware
- Open-Minded
- Thoughtful
- Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection, and fun
What the job involves
- SIEL’s Compliance department is seeking a Senior Compliance Monitoring Officer with demonstrable compliance monitoring experience to join its growing team
- Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will undertake, and complete compliance monitoring reviews including thematic and desk-based periodic reviews of the firm's systems/controls and provide assurance to the business and senior management
- Undertake and promptly complete Compliance monitoring reviews, including thematic and desk-based periodic reviews, which are effectively conducted from planning stage to completion
- Ensure completeness of evidence gathered and record keeping associated with 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
- Provide support in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan
- Work alongside the Head of Compliance Monitoring in the development and tracking of the Compliance Monitoring Plan
- Assist in the drafting, coordination, monitoring, and upkeep of SIEL’s Compliance Monitoring Manual
- Provide Senior Management with appropriate information (MI) regarding the operation and progress of SIEL’s Compliance Monitoring Plan
- Provide compliance monitoring subject matter expertise, advice, and other support as required for SIEL business
- Work collaboratively with the other compliance functions in the SEI group to implement standardised policy and procedure, where appropriate
- Perform any other tasks or activities that may be deemed necessary from time to time, including assisting in any other ad-hoc projects as required
- Deputise for the Head of Compliance Monitoring
Salary benchmarks
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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