Compliance Advisor

6 days ago


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

About SEI Investments Company

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As a leading global provider of asset management and investment technology solutions, SEI Investments Company is dedicated to delivering innovative solutions to our clients. Our company is built on a foundation of courage, integrity, collaboration, inclusion, connection, and fun.

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Job Overview

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We are seeking a seasoned Senior Regulatory Compliance Officer to join our team in the Compliance department. This role offers an exciting opportunity to leverage your expertise in regulatory compliance to shape our business activities and ensure we remain at the forefront of industry best practices.

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Main Responsibilities

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  • You will serve as a trusted advisor to our Asset Management business unit, providing expert regulatory guidance and support to ensure compliance with MiFID and FCA Handbook requirements.
  • You will spearhead research initiatives to identify and mitigate potential risks associated with emerging regulatory developments.
  • You will collaborate closely with cross-functional teams to develop comprehensive compliance strategies and policies.
  • You will play a key role in shaping our compliance framework, identifying areas for improvement, and implementing changes to enhance our overall risk posture.
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Key Qualifications

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To excel in this role, you will possess:

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  • A minimum of 5 years' experience in financial services compliance, with a proven track record of success in a similar role.
  • A deep understanding of FCA rules and guidance, including Consumer Duty, and a passion for staying up-to-date on regulatory developments.
  • In-depth knowledge of MiFID regulations, fund products, particularly UCITS, regulatory frameworks systems and controls, SMCR, and Market Abuse Regulations.
  • Exceptional communication and interpersonal skills, with the ability to build strong relationships with senior stakeholders.
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Salary and Benefits Package

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The estimated salary for this role is £65,000-£85,000 per annum, depending on experience. In addition to a competitive salary, we offer a comprehensive benefits package, including comprehensive care for your physical and mental well-being, a 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.



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