Compliance Associate

3 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.

Position Description:

SEI Investments Global, Limited (“SIGL”) is the management company for a number of SEI proprietary funds. We are currently recruiting for a Compliance Associate role for the SEI Irish Management Company. Supporting the Compliance Manager, 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. This role is a CF2 function.

What you will do:

  • Review and analyse correspondence received from third parties such as the Central Bank of Ireland and service providers to ensure timely allocation and response.

  • Conduct daily oversight of the investment monitoring process, and escalate where applicable.

  • Oversee and maintain the core compliance regulatory registers; Breaches, Complaints, Errors .

  • 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.

  • Develop a strong understanding of the business, operating environment and fund structures.

  • Liaise with the Compliance Team on the development and implementation of its compliance training programme.

  • Review and monitor employee Code of Conducts and maintain register for completion by new employees and annual attestation.

  • Preparation and facilitation of materials for reporting to the Board on a monthly and quarterly basis.

  • Preparation of monthly and quarterly Compliance reporting.

  • Responsibility for CBI filings/reports for the SIGL and its funds under management.

  • Collaborate with the Compliance team and cross company teams on any ad-hoc projects / requests.

  • Work with the Compliance team to develop effective controls, processes and procedures

  • Assist with reviewing and updating risk assessments.

  • Review and maintain documentation such as the Compliance Manual, Policies and Procedures and ensure documents are periodically reviewed and version controlled.

  • Co-ordinate information requests for Themed Inspections from the CBI; other information requests and PRISM interviews.

  • Review AML/CTF risk assessments and provide support to the MLRO to conduct AML monitoring activities.

What you will bring to the table:

  • 3-5 years’ Investment Funds Services industry experience in Europe essential.

  • Deep understanding of UCITS, AIFMD, EU and Central Bank of Ireland regulatory requirements essential.

  • 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.

  • Third level degree in Finance or related field desirable.

  • Compliance qualification preferable.

  • Proven experience in Compliance or related area.

Attributes We Value:

  • Strong oral and written communication skills.

  • Strong attention to detail skills.

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

  • Proactive approach to tasks and assignment.

  • Individual who takes initiative and ownership of assigned responsibilities.

  • Ability to perform effectively and within strict deadlines.

  • Be a reliable transmitter of information, i.e. you report issues “up the chain” as opposed to resolving on your own.

  • Team Player.

  • High Integrity/Ethics.

  • Good Communicator/Listener.

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.

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