Regulatory Compliance Officer, SEI
3-5 days a week in office
Technology and investment solutions
Job no longer available
Technology and investment solutions
1001+ employees
Job no longer available
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
- You have 5+ years’ experience in financial services compliance. Preferably with compliance advisory experience within the asset management sector and ideally in multinational organizations
- You're a well-rounded financial services compliance professional with a solid understanding of FCA rules and guidance, including Consumer Duty
- In-depth understanding of MiFD regulations, fund products, particularly UCITS, regulatory frameworks systems and controls, SMCR and Market Abuse Regulations
- Proven ability to quickly understand and practically deal with new areas of regulation using a collaborative and common-sense approach
- Proven experience interacting directly and effectively with key business and other internal and external stakeholders
- Strong ability to manage expectations of different stakeholders, build consensus and work in a collaborative manner
- Strong communication skills (written and verbal)
- Strong organisational, research and technical information gathering skills
- Demonstrable capability to analyse (and document) complex business processes
- Adequate IT skills
- Process-oriented with strong attention to detail
- Ability to handle multiple tasks and projects with tight delivery schedules
- Effective written and verbal communication skills
- Responsiveness, accountability and adaptability
- Intellectual capability and analysis - ability to undertake comprehensive assessments and provide clear feedback and reporting
- Ability to work reasonably independently while seeking guidance on more complex judgements
- Sound judgment
- Self-starter
- Motivated
- Hands-on
- Flexible
- 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 an experienced Senior Compliance Officer to join the growing team
- Reporting to the Deputy Head of Compliance, your primary role, but not predominant role, will be to provide regulatory advice and guidance to SIEL’s Asset Management business unit
- This includes providing timely and practical regulatory advice and guidance, regulatory research, sign off on marketing documents and assistance to relevant stakeholders and other compliance colleagues on applicable regulatory requirements and industry best practice standards
- You will be directly responsible for providing advice to SIEL’s Asset Management business unit and the wider SIEL business activities, encompassing Asset Management Distribution and Institutional Fiduciary Management activities MiFID and FCA Handbook requirements on how new and existing products and services can be structured to operate within regulatory requirements
- Produce and effectively communicate (verbally and/or in writing, as appropriate) compliance advice, which is of high-quality, comprehensive and thoroughly considered from all relevant angles, in a timely manner
- Regularly research relevant external sources for related regulatory developments that may be applicable to SIEL’s AM regulated activities, assess initial impact and provide initial advice and recommendations and initiate project(s) to support full impact and gap analysis and satisfactory implementation of new requirements
- Provide guidance and advice to stakeholders on the principles to observe when creating financial promotions / marketing material destined for dissemination outside of SIEL
- Review of financial promotions / marketing material in accordance with policies and applicable UK & European regulation
- Supporting the SIEL Compliance department with the write-up of new or revised regulatory/compliance policies and procedures
- Actively participating in all relevant SIEL Compliance departmental meetings and representing Compliance in relevant business meetings
- Assisting in the production of effective and timely management information for senior management, SIEL’s Committees and its Board of Directors
- Work with and support the Chief Compliance Officer (SMF16) to help the department in its general objective to ensure that the SIEL governance and internal control structures are effective for the Firm as a whole, such that SIEL is compliant at all times with all applicable rules and regulations
- Deputising for the Deputy Compliance Officer when required
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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