Compliance Officer

The SEI Group is a leading global provider of asset management and investment technology solutions. SIEL’s Compliance department is seeking an experienced Senior Compliance Officer to join the team. Reporting to the Head of Advisory, your primary role will be to provide technical and operational support to SIEL’s Compliance Team. This includes managing the Compliance inbox and processes including day to day queries and distribution within the Compliance team. Responding to Compliance queries and managing workflow in the various Compliance systems and assistance to relevant stakeholders and other compliance colleagues on applicable regulatory requirements and industry best practice standards.

What you’ll do

• You will be directly responsible for managing the day to day  queries, Compliance inbox and Compliance team administration activities such as PA Dealing, Gifts and Entertainment, Financial Promotions etc received through the various Compliance systems such as ACA, ADTRAX and Accelerate and the team inbox.
• Manage and update the Compliance Calendar including Compliance reporting requirements and FCA submissionsReview 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.
• Work with and support the wider Compliance function, supporting Functional and Group initiatives to improve collaboration and the effectiveness of the team.
• Drive and manage Compliance Initiatives, working with the Head of Advisory to identify the team priorities and supporting other team members in delivering the BAU tasks Deliverables and Change Management Objectives.

What we need from you:

• You have 5+ years’ experience in financial services compliance. Preferably with compliance advisory experience within either the asset management, investment management or institutional fiduciary management sectors 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).
• Team player who can organise and distribute workloads
• Strong organisational, research and technical information gathering skills.
• Demonstrable capability to analyse (and document) complex business processes.
• Adequate IT skills

What we would like from you:

• 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.
• Team player
• 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.  Please see our website for more information https://www.seic.com/

Obligations with respect to Risk Management:

All SIEL employees are responsible for the identification, assessment and control of risks and risk events. Employees will maintain a good understanding of applicable policies, procedures, risk appetites and tolerance relevant to their function and or business unit and are expected to consider current and potential risks when making or informing business decisions. Employees are responsible for the accurate and timely escalation and recording of incidents associated to relevant risks. In addition, employees are responsible for completing all required Risk Management training.

SEI’s competitive advantage:

To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about.

We are a technology and asset management company delivering on our promise of building brave futures (SM)—for our clients, our communities, and ourselves.  Come build your brave future at SEI.

SEI is an Equal Opportunity Employer and so much more…

After over 50 years, SEI remains a leading global provider of investment management, investment processing and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the City of London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuable asset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits, which include private medical care for you and your family, access to GPs online for appointments, enhanced family leave, volunteer days, access to thriving employee networks and not forgetting free fruit.

SEI Investments (Europe) Ltd (‘SIEL’) is authorised and regulated by the Financial Conduct Authority (FRN 191713)

SEI’s competitive advantage:

To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about.

We are a technology and asset management company delivering on our promise of building brave futures (SM)—for our clients, our communities, and ourselves.  Come build your brave future at SEI. 

SEI is an Equal Opportunity Employer and so much more…

After over 50 years, SEI remains a leading global provider of investment management, investment processing and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the City of London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuable asset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits, which include private medical care for you and your family, access to GPs online for appointments, enhanced family leave, volunteer days, access to thriving employee networks and not forgetting free fruit.

SEI Investments (Europe) Ltd (‘SIEL’) is authorised and regulated by the Financial Conduct Authority (FRN 191713).

AI Acceptable Use in the application and interview process:

SEI acknowledges the growing integration of artificial intelligence (AI) tools into individuals’ personal and professional lives.  If you intend to incorporate the use of any AI tools at any stage of the application and/or interview process, please ensure you have reviewed and adhere to our AI use guidelines.