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Compliance Risk Management Specialist
1 month ago
About the Role:
We are seeking a skilled and experienced Senior Compliance Monitoring Officer to join our growing team at SEI Investments (Europe) Ltd.
About You:
- You will have 5+ years of 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 rules and guidance, including Consumer Duty, MiFiD regulations, fund products, particularly UCITS, and regulatory frameworks systems and controls, SMCR and Market Abuse Regulations;
- You possess proven task and project management skills with the ability to prioritize tasks, manage multiple projects simultaneously, and meet deadlines;
- You have excellent skills in building relationships with key stakeholders;
About the Job:
The Senior Compliance Monitoring Officer will undertake and complete compliance monitoring reviews, including thematic and desk-based periodic reviews, which are effectively conducted from planning stage to completion.
Key Responsibilities:
- 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 SIEL's Compliance Monitoring Manual;
- Provide Senior Management with appropriate information 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 other compliance functions in the SEI group to implement standardized policy and procedure, where appropriate;
About Our Benefits:
- A competitive salary range of £65,000-£80,000 per annum, reflecting your experience and qualifications;
- Private medical care for you and your family;
- Access to GPs online for appointments;
- Enhanced family leave;
- Volunteer days;
- Access to thriving employee networks;
- Free fruit twice a week;
About Us:
SEI Investments (Europe) Ltd. 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.
