Global Regulatory Risk and Compliance Specialist
3 days ago
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.
Whilst the parent company has its principal offices in the United States, the SEI Group comprises operating subsidiaries in the EU, UK, Cayman Islands and Canada. The SEI Group’s operations in Ireland are carried out through three entities based in Dublin that conduct the Group’s business of managing proprietary UCITS and AIF funds, as well as providing administration and depositary services to funds established by third party investment managers.
Position Description:
SEI is seeking a Specialist for our Regulatory Services (RS) team. Our primary goal is to ensure the successful and accurate completion of certain compliance and administrative servicing requirements for investment manager products for assigned funds. As a Specialist, you will review data being provided by SEI to complete regulatory filings and post-trade compliance notices.
What you’ll do:
1. Serve as the main point of contact and subject matter expert for internal and external clients, regarding regulatory reporting requirements and Investment Advisor compliance.
2. Research regulatory requirements and interpret regulations for various funds and monitor U.S. government laws and industry updates; keeping abreast of any changes.
3. Act as a project manager for various filing schedules, in support of the regulatory process:
- Create and communicate timelines to the appropriate internal and external clients, for each filing production cycle.
- Facilitate kick-off meetings for each scheduled filing period, so that internal and external clients are aware of expectations.
- Liaise among SEI’s internal support teams to ensure efficient and timely reporting.
1. Respond promptly to client questions and inquiries regarding the various requirements and data points for regulatory filings. Identify and resolve issues and errors on a timely basis, with appropriate documentation and escalation.
2. Work to create efficiencies and improvements to existing processes and work to develop and/or enhance and document team procedures for various client-specific tasks and other functions, as dictated by the services offered by the RS team.
3. Test the regulatory reporting module enhancements, as part of the ongoing release process. Your due diligence and attention to detail during the testing process will be key to your team’s success, while striving for error-free reporting.
4. Carry out all duties assigned to your role under the Company’s Safety Statement, to ensure Health, Safety and Well-being for all employees for whom you have responsibility.
5. Adhoc tasks / projects as required.
What you will bring to the table:
1. Minimum of 2 years’ experience in a Fund Accounting OR Financial Reporting role.
2. Experience with Sungard InvestOne, InvestTier, Investran and SS&C Advent Geneva systems.
3. BA / BS in Business, Accounting, Finance, Economics, Mathematics or equivalent work experience.
4. Strong knowledge of financial, investment industry, especially derivatives.
5. Intermediate skills in Microsoft Excel.
Attributes we value:
1. The self-motivation and drive to monitor multiple client deliverables without sacrificing excellence or quality.
2. Strong customer service skills as you will be communicating daily with internal and external clients.
3. Excellent interpersonal and customer service skills;
4. Strong organizational and administrative skills;
5. Ability to multi-task, prioritise work and manage time to maximize efficiency and to meet strict deadlines;
6. Strong oral and written communication skills;
7. Fluency in English Language (both verbal and written) essential;
8. Individual who takes initiative and ownership of assigned responsibilities;
9. Train, coach and mentor employees on the team where appropriate;
10. Positive ‘can do’ attitude with excellent problem solving skills;
11. Detail-oriented;
12. Team player;
13. Flexible / Adaptable;
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 & Group Income Protection. 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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