Senior Compliance Officer in London

The SEI Group is a leading global provider of asset management and investment technology solutions. SIEL's Compliance department is seeking an experienced Senior Compliance Officer to join the team. Reporting to the Head of Advisory, your primary role will be to provide regulatory advice and guidance to SIEL's business units. This includes providing timely and practical regulatory advice and guidance, regulatory research, and assistance to relevant stakeholders and other compliance colleagues on applicable regulatory requirements and industry best practice standards.

What you’ll do

• You will be directly responsible for providing advice to SIEL's business units and the wider SIEL business activities, encompassing Asset Management Distribution and Institutional Fiduciary Management activities, SIPPs, MiFID and FCA Handbook requirements on how new and existing products and services can be structured to operate within regulatory requirements.
• Produce and effectively communicate (verbally and/or in writing, as appropriate) compliance advice, which is of high-quality, comprehensive and thoroughly considered from all relevant angles, in a timely manner.
• Regularly research relevant external sources for related regulatory developments that may be applicable to SIEL's regulated activities, assess initial impact and provide initial advice and recommendations and initiate project(s) to support full impact and gap analysis and satisfactory implementation of new requirements.
• Provide guidance and advice to stakeholders on the principles to observe when creating financial promotions / marketing material destined for dissemination outside of SIEL.
• Support the SIEL Compliance department with the write-up of new or revised regulatory/compliance policies and procedures.
• Actively participate in all relevant SIEL Compliance departmental meetings and represent Compliance in relevant business meetings.
• Assist in the production of effective and timely management information for senior management, SIEL's Committees and its Board of Directors.
• Work with and support the Chief Compliance Officer (SMF16) to help the department in its general objective to 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.
• Deputise for the Head of Advisory when required.
• Support and collaborate with wider Compliance teams to support business and functional tasks where required. This may include supporting administrative and monitoring tasks as well as function wide initiatives.
• Collaborate with Risk, Audit and Group colleagues, identifying areas to improve the wider risk framework of the organisation.

What we need from you

• You have 7+ years' experience in financial services compliance, preferably with compliance advisory experience within either the asset management, investment management or institutional fiduciary management sectors and ideally in multinational organizations.
• You’re a well-rounded financial services compliance professional with a solid understanding of FCA rules and guidance, including Consumer Duty.
• In-depth understanding of MiFD regulations, fund products, particularly UCITS, regulatory frameworks systems and controls, SMCR and Market Abuse Regulations.
• Proven ability to quickly understand and practically deal with new areas of regulation using a collaborative and common-sense approach.
• Proven experience interacting directly and effectively with key business and other internal and external stakeholders.
• Strong ability to manage expectations of different stakeholders, build consensus and work in a collaborative manner.
• Strong communication skills (written and verbal).
• Strong organisational, research and technical information gathering skills.
• Demonstrable capability to analyse (and document) complex business processes.
• Adequate IT skills.

What we would like from you

• Process-oriented with strong attention to detail.
• Ability to handle multiple tasks and projects with tight delivery schedules.
• Effective written and verbal communication skills.
• Responsiveness, accountability and adaptability.
• Intellectual capability and analysis - ability to undertake comprehensive assessments and provide clear feedback and reporting.
• Team player.
• Ability to work reasonably independently while seeking guidance on more complex judgements.
• Sound judgment.
• Self-starter.
• Motivated.
• Hands-on.
• Flexible.
• Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun.

Obligations with respect to Risk Management

All SIEL employees are responsible for the identification, assessment and control of risks and risk events. Employees will maintain a good understanding of applicable policies, procedures, risk appetites and tolerance relevant to their function and or business unit and are expected to consider current and potential risks when making or informing business decisions. Employees are responsible for the accurate and timely escalation and recording of incidents associated to relevant risks. In addition, employees are responsible for completing all required Risk Management training.

SEI's competitive advantage

To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about.

Equal Opportunity Employer

SEI is an Equal Opportunity Employer and so much more...

AI Acceptable Use in the application and interview process

SEI acknowledges the growing integration of artificial intelligence (AI) tools into individuals' personal and professional lives. If you intend to incorporate the use of any AI tools at any stage of the application and/or interview process, please ensure you have reviewed and adhere to our AI use guidelines.