Compliance Monitoring Officer

4 weeks ago

Dublin, Dublin City, 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.

These are:

  • SEI Investments Global, Limited (SIGL), a management company for Undertakings for Collective Investment in Transferable Securities, or UCITS, and for Alternative Investment Funds, or AIFs.

  • 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;

  • SEI Investments - Depositary and Custodial Services (Ireland) Limited (D&C), an authorized provider of depositary and custodial services.

CLOSING DATE FOR ALL APPLICATIONS WILL BE: COB TUESDAY 3RD DECEMBER

Position Description:

The successful candidate will be responsible for leading the Compliance Monitoring function for GFSL and D&C and ensure there is a comprehensive Compliance Monitoring Plan in place for both entities. Reporting into the Chief Compliance Officer, the candidate must have an advanced understanding of the fund industry in Ireland and the regulatory environment. Experience in a compliance department and compliance monitoring is essential.

What you will do:

  • Support the Chief Compliance Officer with conducting, documenting and reporting on the compliance monitoring programme and follow-up implementation of findings/recommendations

  • Undertake and promptly complete Compliance monitoring reviews, including thematic and desk-based periodic reviews.

  • Ensure the completeness of evidence gathered and record keeping associated with the testing, upon which findings and conclusions are clearly based.

  • Produce and effectively communicate (verbally and in writing) findings in respect of compliance monitoring activities which are of high-quality, comprehensive, and thoroughly considered from all relevant angles.

  • Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.

  • Preparation of periodic compliance reports to the Board of Directors of the Irish regulated entities

  • Provide support in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan

  • Assist the Chief Compliance Officer in implementing and reviewing the Compliance Plan and other relevant procedures to ensure staff are aware of the role of the Compliance function and their role in ensuring the relevant Company acts in a manner compliant with regulation

  • Provide assistance and support to the business in relation to regulatory and ad-hoc compliance queries

  • Maintain and administer compliance policies and procedures for the SEI Dublin's current business activities and future developments

  • Other duties and ad-hoc compliance projects / tasks as required

What you will bring to the table:

  • Minimum 5+years' experience in compliance monitoring, internal audit and/or working in a Compliance function, preferably in the Fund Administrator/Depositary sector

  • Experience of working with Fund Administrator and Depositary regulatory requirements would be preferable

  • Good technical abilities and knowledge of applicable regulations (UCITS, AIFMD, SI10)

  • Familiarity with investment and regulatory issues facing the Irish Funds industry and significant investment industry experience

  • People and Project management experience

  • Professional qualification (ACOI or other relevant discipline) would be preferable

  • Knowledge of the Fund Services Providers industry

  • Knowledge / awareness of applicable laws, rules and standards

Attributes We Value:

  • Strong oral and written communication skills

  • Capable of executing a range of tasks and analysis

  • Proactive approach to tasks and assignment

  • Ability to perform effectively and independently and meeting strict deadlines

  • Positive "can do" attitude with excellent problem-solving skills

  • Detail-oriented

  • P.C. proficient, particularly regarding Excel, Word

  • Ability to multi-task, prioritise work and manage time to maximise efficiency and to meet strict deadlines

Benefits you can expect:

Benefits include flexible working environment, healthcare for yourself, your spouse and any dependents under 18 years old. Pension Scheme. Life Assurance & Group Income Protection. Education Assistance, Sports Club Membership, Tax Saver Travel Benefits, Paid Parental Leave, 2 Paid Volunteer Days per year, Employee Share Participation Scheme and Competitive Annual Leave Entitlement.

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.

#J-18808-Ljbffr

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