Compliance Monitoring Officer

2 weeks ago

London, Greater London, United Kingdom SEI Investments (Europe) Ltd. Full time
Job Title: Senior Compliance Monitoring Officer

SEI Investments (Europe) Ltd. is seeking a Senior Compliance Monitoring Officer with strong compliance monitoring experience to join its growing team. Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will be responsible for undertaking and completing compliance monitoring reviews, including thematic and desk-based periodic reviews of the firm's systems/controls.



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 (verbally and in writing) 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 SIEL's Compliance Monitoring Manual.
  • Provide Senior Management with appropriate information (MI) regarding the operation and progress of SIEL's Compliance Monitoring Plan.
  • Provide compliance monitoring subject matter expertise, advice, and other support as required for SIEL business.
  • Work collaboratively with the other compliance functions in the SEI group to implement standardised 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.



Requirements:


  • 5+ years' experience in compliance monitoring, internal audit and/or working in a Compliance function, preferably in the asset or wealth management sector;
  • You are a well-rounded financial services compliance professional with a solid understanding of FCA (Financial Conduct Authority) rules and guidance, including Consumer Duty, MiFiD regulations, fund products, particularly UCITS, and regulatory frameworks systems and controls, SMCR (Senior Managers and Certification Regime) and Market Abuse Regulations.
  • 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.


What We Would Like From You:


  • Hardworking
  • Smart
  • Effective
  • Solution-Oriented
  • Team Player
  • High Integrity/Ethics
  • Good Communicator/Listener
  • Sound Judgment
  • Dedicated to Self-Improvement
  • Self-Aware
  • Open-Minded
  • Thoughtful
  • Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection, and fun.


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 with relevant risks. In addition, employees are responsible for completing all required Risk Management training.



At SEI Investments (Europe) Ltd., we value our employees and are committed to providing a healthy work-life balance. 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.

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