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Compliance Monitoring Professional

1 month ago

London, Greater London, United Kingdom SEI Investments (Europe) Ltd. Full time
About the Role

We are seeking a highly skilled Senior Compliance Monitoring Officer to join our team at SEI Investments (Europe) Ltd. This is a fantastic opportunity to work in a dynamic and growing company, with a strong focus on innovation and customer satisfaction.

The successful candidate will be responsible for undertaking compliance monitoring reviews, providing assurance to the business and senior management, and identifying areas for improvement. This role requires a strong understanding of regulatory requirements, as well as excellent analytical and communication skills.

Key Responsibilities
  • Undertake and complete compliance monitoring reviews, including thematic and desk-based periodic reviews
  • Ensure completeness of evidence gathered and record keeping associated with testing
  • Produce and communicate findings in respect of compliance monitoring activities
  • Track and report on the progress of remedial actions
Requirements
  • 5+ years' experience in compliance monitoring, internal audit, and/or working in a Compliance function
  • A solid understanding of FCA rules and guidance, including Consumer Duty, MiFID regulations, and regulatory frameworks
  • Effective communication skills - written and oral
  • Sound analytical mindset and problem-solving skills
Benefits
  • An estimated salary of £60,000 - £80,000 per annum, depending on experience
  • 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 SEI Investments (Europe) Ltd.

SEI Investments (Europe) Ltd. is a leading global provider of investment processing, investment management, and investment operations solutions. We have over 50 years of experience in financial services and financial technology, and we are committed to innovation and customer satisfaction.