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Compliance Monitoring Officer

2 months ago

London, Greater London, United Kingdom SEI Investments Company Full time
Job Summary

The SEI Investments Company is a leading global provider of asset management and investment technology solutions. Our Compliance department is seeking a Compliance Monitoring Officer with demonstrable compliance monitoring experience to join its growing team.

Key Responsibilities
  • Undertake and 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 findings in respect of compliance monitoring activities which are of high-quality, comprehensive, and thoroughly considered from all relevant angles.
  • 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 SEI's Compliance Monitoring Manual.
  • Provide Senior Management with appropriate information regarding the operation and progress of SEI's Compliance Monitoring Plan.
  • Provide compliance monitoring subject matter expertise, advice, and other support as required for SEI business.
  • Work collaboratively with other compliance functions in the SEI group to implement standardized 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.
Requirements
  • 5+ years' experience in compliance monitoring, internal audit, and/or working in a Compliance function, preferably in the asset or wealth management sector.
  • A well-rounded financial services compliance professional with a solid understanding of regulatory frameworks, systems and controls, and regulatory requirements.
  • 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.
Desirable 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
About SEI

SEI is a leading global provider of investment processing, investment management, and investment operations solutions. Our UK office is based between the City of London and the growing technology hub of Shoreditch. We recognize that our people are our most valuable asset and are invested in your success.

We offer a range of benefits, including 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 free fruit twice a week.