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Compliance Associate

4 weeks ago

Dublin, Ireland SEI Investments Company Full time

SEI Investments is a leading global provider of asset management and investment technology solutions. The company’s innovative solutions help corporations, financial institutions, financial advisors, and affluent families create and manage wealth. SEI is a people-focused organization which encourages and recognizes employee development as being a critical component in the provision of excellent client service. An open, collaborative and detail-oriented environment underpins this business objective.

SEI Investments is a US-based publicly traded corporation that is the ultimate parent entity of three separate Irish legal entities.

These are:

  1. SEI Investments Global, Limited (SIGL), a UCITS Management Company (“UCITS ManCo”) and Alternative Investment Funds Manager (“AIFM”)
  2. SEI Investments - Global Fund Services, Ltd. (GFSL, an authorized provider of Fund Administration services for Irish and non-Irish collective investment schemes that is regulated by the CBI;
  3. SEI Investments - Depositary and Custodial Services (Ireland) Limited (D&C, an authorized provider of depositary and custodial services.

Position Description:

SIGL is the UCITS ManCo and AIFM for a number of SEI proprietary funds. We are currently recruiting for a Compliance Associate. Supporting the Designated Person for Regulatory Compliance and Chief Compliance Officer, the successful candidate will be an integral part of the Compliance Team in its oversight of the business’ compliance with relevant regulatory requirements as well as advising the business of their obligations whilst supporting the business in meeting its strategic objectives.

The successful candidate will be part of a wider Legal and Compliance Team but continuously interact with various areas of the business, gaining exposure to various parts of the Asset Management business and SEI. The role offers an opportunity to work in a dynamic regulatory environment, ensuring the UCITS Management Company/AIFM maintains compliance with evolving regulations while supporting investor protection.

The ideal candidate will be a highly motivated self-starter, demonstrate good judgment, and be a team player with energy and passion to learn.

What you will do:

  1. Conduct daily oversight of the investment monitoring process for SIGL’s funds under management and escalate where applicable.
  2. Complete reviews as allocated from the compliance monitoring programme and ensure they are completed within the required time frame. Follow-up implementation of findings/recommendations e.g. AML, AIFMD, UCITS, Outsourcing as well as deliverables for market units.
  3. Review and analyse correspondence received from third parties such as the Central Bank of Ireland and service providers to ensure timely allocation and response.
  4. Analyse regulatory and legislative developments and assess their applicability and impact to the business.
  5. Develop a strong understanding of the business, operating environment and fund structures.
  6. Liaise with the Compliance Team on the development and implementation of its compliance training programme.
  7. Review and monitor employee Code of Conducts and maintain register for completion by new employees and annual attestation.
  8. Oversee and maintain the core compliance regulatory registers; Breaches, Complaints, Errors.
  9. Preparation and facilitation of materials for reporting to the Board on a monthly and quarterly basis.
  10. Preparation of monthly and quarterly Compliance reporting.
  11. Responsibility for CBI filings/reports for the SIGL and its funds under management.
  12. Collaborate with the Compliance team and cross-company teams on any ad-hoc projects/requests.
  13. Work with the Compliance team to develop effective controls, processes and procedures.
  14. Assist with reviewing and updating risk assessments.
  15. Review and maintain documentation such as the Compliance Manual, Policies and Procedures and ensure documents are periodically reviewed and version controlled.
  16. Co-ordinate information requests for Themed Inspections from the CBI; other information requests and PRISM interviews.
  17. Review AML/CTF risk assessments and provide support to the MLRO to conduct AML monitoring activities.

What you will bring to the table:

  1. 3-5 years’ Investment Funds Services industry experience in Europe essential.
  2. Deep understanding of UCITS, AIFMD, EU and Central Bank of Ireland regulatory requirements essential.
  3. Knowledge and practical experience of the Irish Funds regulatory environment, applicable laws, rules and standards with dedication to continue to develop within this subject matter.
  4. Third level degree in Finance or related field desirable.
  5. Compliance qualification preferable.
  6. Proven experience in Compliance or related area.

Attributes We Value:

  1. Strong oral and written communication skills.
  2. Strong attention to detail skills.
  3. Ability to multi-task, prioritise work and manage time to maximise efficiency and to meet strict deadlines.
  4. Proactive approach to tasks and assignment.
  5. Individual who takes initiative and ownership of assigned responsibilities.
  6. Ability to perform effectively and within strict deadlines.
  7. Be a reliable transmitter of information, i.e. you report issues “up the chain” as opposed to resolving on your own.
  8. Team Player.
  9. High Integrity/Ethics.
  10. Good Communicator/Listener.

Benefits you can expect:

Healthcare for yourself, your spouse, and any dependents up to the age of 18 years. Pension Scheme. Tax Saver Travel Benefits. Bike to Work Scheme. On-site Gym with Fitness Classes and 1:1 PT Sessions. Club Supplement. Education Assistance. Competitive Family & Annual Leave Entitlements as well as 2 Paid Volunteer Days per year. Life Assurance. Annual Employee Share Participation Scheme.

We are focused on ensuring a healthy work-life balance and offer a hybrid working model and flexible working hours.

SEI is an Equal Opportunity Employer and so much more…

We recognize 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, educational assistance scheme and actively encourage work-life balance.

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