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The role requires an enthusiastic team member, with demonstrable compliance monitoring experience and regulatory advisory experience, with clear evidence of a desire to work in a dedicated Compliance role, to join a Compliance department supporting the core compliance initiatives and control framework within SIEL's regulated business. You will build relationships with key stakeholders, deliver an exceptional performance in the daily provision of assigned regulatory activities and help successfully drive through compliant requirements and change whilst maintaining excellent relations throughout the organisation.
What you'll do:
You will work with and support the Head and Deputy Heads of Compliance to help the department ensure that the SIEL governance and internal control structures are effective for the Firm as a whole, such that SIEL is compliant at all times with all applicable rules and regulations.
You will produce and effectively communicate high quality compliance advice to various stakeholders in SIEL, assisting the SIEL Compliance department to achieve its overall objective of supporting the business (incl. where relevant SIEL's international offices) achieve its objectives in a compliant manner.
You will work with and support the Head and Deputy Head of Compliance in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan.
You will manage and review the delegated compliance monitoring work which is being performed by the Firm's Compliance Officers and Compliance Monitoring Manager, and provide them with relevant support, training and guidance, as and when appropriate to help them develop.
You will undertake and complete Compliance monitoring reviews, including thematic and desk based reviews, which are effectively conducted from planning stage to completion (including the reporting, findings and recommendations stages) in a timely manner.
You will provide advice to the investment management and platform business lines of the Firm.
You will assist in managing other members of the Compliance department and provide them with suitable support, training, feedback and guidance.
What you'll bring to the table:
Degree (or equivalent) and/or professional qualification (e.g CISI Diploma).
Substantial regulatory consulting, monitoring or advisory experience and/or experience of working in a Compliance function, preferably in the asset management/servicing sector.
Significant knowledge or experience with FCA and EU applicable rules and regulations, including: Prudential (ICAAP); Investment Advice, Discretionary Management, Fiduciary Management, Product Governance, Suitability, RDR, Inducements, Conflicts of Interest, General Governance & Organisational Arrangements (with focus on asset management/advisory functions and activities), Approved Persons, SMCR, Training & Competence, Outsourcing and Delegation, Principal vs Agent, CASS, Record-Keeping, Data Protection, Order Handling & Execution, Transaction Reporting, FCA Reporting, and generally COBS, SYSC, SUP and MiFID II as they apply to the Firm's regulated activities within its investment management business lines.
Attributes we value:
Excellent verbal and written communication skills are essential.
Excellent management and leadership skills.
Effective research and analytical skills.
Ability to work and interact effectively within a team.
Ability to generate and communicate new innovative ideas (e.g. RegTech).
SEI is an equal opportunities employer and so much more...
Now in our 50th year, SEI is a leading global provider of investment management, investment processing and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the City of London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuable asset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits which include 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 not forgetting free fruit twice a week.
SEI Investments (Europe) Limited ('SIEL') is authorised and regulated by the Financial Conduct Authority (FRN 191713).