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Finance & compliance Administrator - Asset Management
4 months ago
SIEL is a wholly owned subsidiary of the SEI Group of companies (“SEI”) that holds and delivers certain products, services and operational functions for some of SEI’s global businesses. The SEI Institutional Business Segment provides investment management and advisory services to institutional asset owners.
We are seeking to hire a MLRO & Financial Crime Compliance Officer. SIEL’s Money Laundering Reporting Officer (“MLRO”) is responsible for overseeing SIEL’s compliance with the FCA’s rules on systems and controls against money laundering and against other financial crime areas; specifically, bribery and corruption, data protection, fraud and market abuse. This role is identified as a Senior Manager – “SMF17 – Money Laundering Reporting Officer”.
Subject to regulatory approval, this role-holder as a Senior Management Function (SMF) will be required to adhere to the regulatory Individual Conduct Rules and the Senior Manager Conduct Rules under COCON and will be accountable for the following prescribed and overall responsibilities for and on behalf of SIEL -
Responsibility for the firm’s policies and procedures for countering the risk that the firm might be used to further financial crime.
Responsibility for the production and delivery of SIEL's AML Compliance Program, including reporting suspicions of money laundering
Be responsible in establishing the basis on which a risk-based approach to the prevention of money laundering/terrorist financing is put into practice by Senior Management (“the AML Program”)
Be responsible for the coordination, monitoring and upkeep of the AML Program, which is the foundation for SIEL’s AML systems and controls
Perform regular assessments of the adequacy of all AML systems and controls and oversee the implementation of appropriate enhancements designed to ensure continuous compliance with applicable laws and regulations
Provide Senior Management with appropriate information regarding the operation and effectiveness of those systems and controls (at least annually)
Provide staff training (including requirements for suspicious activity monitoring and escalation)
With Senior Management, take appropriate measures to ensure that money laundering risk is taken into account in the day-to-day operation of the firm, including in relation to:
changes in the firm’s business profile.
Review and investigate AML related suspicious activities; Where required, provide external reporting to the National Crime Agency (“NCA”) (AML related suspicious activity notices), the FCA (preparation and submission of the Annual Financial Crime Report) and HM Treasury (Financial Sanction notifications via the Office of Financial Sanctions Implementation “OFSI”)
Be aware of any new AML and Financial Crime regulations, rules and/or guidance that may impact SIEL and ensure the business are aware of the impact of such regulations, rules and or guidance and lead the business in implementation of the said requirements.
Financial Crime:
Work with and support the Chief Compliance Officer 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
Maintain a strong understanding of the Firm’s business model and strategy
Provide financial crime compliance subject matter expertise and other support as required for SIEL’s UK business
Develop key financial crime compliance risk assessments, policies and procedures (“the Financial Crime Program”)
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, assisting the SIEL Compliance department to achieve its overall objective of supporting the business (incl. Keep up to date with developments in Financial Crime regulation and industry best practice, and implementing and/or recommending changes where necessary
Represent Compliance (or Chair, if and as appropriate) in appropriate Firm Financial Crime Committees and/or Working Groups
Identify and track new and updated requirements relating to Financial Crime, engaging collaboratively with the business in developing, implementing and monitoring new procedures
Identify training needs; delivering Financial Crime training to SIEL employees; Work collaboratively with the other compliance functions in the group to implement standardised policy and procedure, where appropriate.
Maintain and develop firm, industry and regulatory knowledge - (market conditions, regulation, SEI products and services, financial crime etc) both in general and specifically for areas of technical expertise and maintain ongoing and effective communication and alignment of these with regulatory requirements and developments as well as market and client business practices.
Regularly provide training to relevant stakeholders on the AML and Financial Crime Program
Any other ad-hoc projects as required.
Risk Management & Culture
In your role, you are responsible for the identification, assessment and control of risks and risk events. Maintaining a good understanding of applicable policies, procedures, risk appetites and tolerances
To consider current and potential risks when making or informing business decisions
The accurate and timely escalation and recording of incidents associated to relevant risks
Performing regular assessments of your risks and controls
Ensuring all required Risk Management training is completed
Strong compliance experience (including some monitoring experience)
Significant experience of financial crime and AML (and the relevant legislation and regulation)
Broad knowledge of financial markets and major product areas
Business Strategy & Business Model:
Demonstrates the appropriate level of awareness and understanding of SIEL'S business strategy and business model appropriate to the proposed role
Has an appropriate level of understanding of the firm's business, its products, services and client base as well as key markets
Ability to lead businesses and manage multi-disciplinary teams
Experience of working in a platform service provider or with an outsourced financial services relationship
Risk Management & Control:
~ Demonstrates an awareness and understanding of the main internal and external risks facing SIEL
Financial Analysis & Control:
~ Demonstrates the ability to understand and interpret the financial information specific to your business area
Demonstrable capability to analyse (and document) complex business processes
Regulatory Framework & Requirements:
~ Demonstrates an awareness and understanding of the regulatory framework in which SIEL operates
Intellectual capability and analysis - ability to undertake comprehensive assessments and provide clear feedback and reporting
Ability to work well under pressure and meet deadlines without deterioration of quality of work.
Ability to influence senior stakeholders
Strong compliance experience (including some monitoring experience).
Significant experience of financial crime and AML (and the relevant legislation and regulation).
Broad knowledge of financial markets and major product areas
Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. Please see our website for more information.
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. 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 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).
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