Compliance and Monitoring Professional

7 days ago

London, Greater London, United Kingdom SEI Investments Company Full time
Senior Compliance Risk Manager

SEI Investments Company is a leading global provider of asset management and investment technology solutions. The SIEL Compliance department is seeking a Senior Compliance Risk Manager with demonstrable compliance risk experience to join its growing team.

About the Role:

  • Conduct thorough risk assessments and develop comprehensive risk-based compliance monitoring plans, ensuring alignment with regulatory requirements.
  • Collaborate with senior management to ensure timely completion of compliance monitoring activities, providing high-quality assurance on systems and controls.
  • Promote effective communication of findings through clear and concise reports, both verbally and in writing, while maintaining confidentiality when required.
  • Support the Head of Compliance Monitoring in the development and tracking of the Compliance Monitoring Plan, ensuring seamless execution.
  • Develop and maintain comprehensive records of compliance testing, evidence gathering, and conclusions drawn from these activities.
  • Cultivate strong relationships with key stakeholders, providing subject matter expertise and advice as needed for SEI business operations.
  • Assist in the drafting, coordination, monitoring, and upkeep of SIEL's Compliance Monitoring Manual, ensuring alignment with regulatory standards.
  • Provide senior management with critical information regarding the operation and progress of SIEL's Compliance Monitoring Plan.
  • Perform any other tasks or activities necessary to support SEI's overall compliance objectives.
  • Deputise for the Head of Compliance Monitoring when required.

Requirements:

  • A minimum of 5 years' experience in compliance risk management, internal audit, or working in a compliance function within the financial services sector.
  • Strong understanding of FCA rules and guidance, including Consumer Duty, MiFiD regulations, fund products, particularly UCITS, and regulatory frameworks systems and controls, SMCR, and Market Abuse Regulations.
  • Proven project management skills, prioritizing tasks, managing multiple projects simultaneously, and meeting deadlines under pressure.
  • Excellent relationship-building skills, fostering collaboration with key stakeholders.
  • Good IT skills and proficiency in software applications relevant to compliance risk management.

Salary: £60,000 - £80,000 per annum, based on qualifications and experience.

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