Compliance Monitoring Officer

7 days ago

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

The SEI Investments Company is seeking a highly skilled Compliance Monitoring Officer to join its growing team. As a key member of the Compliance department, you will be responsible for undertaking and completing compliance monitoring reviews, providing assurance to the business and senior management, and ensuring the effective implementation of compliance policies and procedures.

Key Responsibilities
  1. Compliance Monitoring Reviews: Undertake and complete compliance monitoring reviews, including thematic and desk-based periodic reviews, to ensure the firm's systems and controls are effective and compliant with regulatory requirements.
  2. Risk Assessment and Planning: Assist in undertaking robust compliance risk assessments and developing a risk-based and proportionate annual Compliance Monitoring Plan.
  3. Compliance Monitoring Manual: Assist in the drafting, coordination, monitoring, and upkeep of the SEI Investments Company's Compliance Monitoring Manual.
  4. Reporting and Communication: Provide senior management with appropriate information regarding the operation and progress of the Compliance Monitoring Plan.
  5. Compliance Subject Matter Expertise: Provide compliance monitoring subject matter expertise, advice, and other support as required for the SEI business.
  6. Collaboration and Teamwork: Work collaboratively with other compliance functions in the SEI group to implement standardized policy and procedure, where appropriate.
Requirements
  1. Experience: 5+ years' experience in compliance monitoring, internal audit, and/or working in a Compliance function, preferably in the asset or wealth management sector.
  2. Knowledge and Skills: A well-rounded financial services compliance professional with a solid understanding of regulatory requirements, including FCA rules and guidance, Consumer Duty, MiFiD regulations, fund products, and regulatory frameworks systems and controls.
  3. Skills: Proven task and project management skills, with the ability to prioritize tasks, manage multiple projects simultaneously, and meet deadlines.
  4. Personal Qualities: A hardworking, smart, effective, solution-oriented, team player with high integrity, good communication skills, sound judgment, dedication to self-improvement, self-awareness, open-mindedness, thoughtfulness, and a commitment to embodying the SEI Investments Company's values of courage, integrity, collaboration, inclusion, connection, and fun.

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