Senior Compliance Officer in London

Responsibilities include, but are not limited to:

• 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.
• Producing and effectively communicating compliance advice that is high-quality, comprehensive, and thoroughly considered.
• Researching relevant external sources for regulatory developments applicable to SIEL’s regulated activities and providing initial advice and recommendations.
• Providing guidance on principles to observe when creating financial promotions/marketing material.
• Supporting the SIEL Compliance department with the write-up of new or revised regulatory/compliance policies and procedures.
• Participating in SIEL Compliance departmental meetings and representing Compliance in relevant business meetings.
• Assisting in the production of effective and timely management information for senior management, SIEL’s Committees, and its Board of Directors.
• Working with and supporting the Chief Compliance Officer to ensure SIEL is compliant with all applicable rules and regulations.
• Deputising for the Head of Advisory when required.
• Collaborating with wider Compliance teams and supporting administrative and monitoring tasks.
• Collaborating with Risk, Audit, and Group colleagues to improve the wider risk framework of the organisation.

What we need from you:

• 7+ years’ experience in financial services compliance, preferably with compliance advisory experience within asset management, investment management, or institutional fiduciary management sectors.
• 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 understand and deal with new areas of regulation collaboratively.
• Experience interacting directly and effectively with key business and other internal and external stakeholders.
• Strong ability to manage expectations of different stakeholders and build consensus.
• 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 with the ability to work independently while seeking guidance on complex judgements.
• Sound judgment, self-starter, motivated, hands-on, and flexible.
• Someone who embodies 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 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 with relevant risks and 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.

We are a technology and asset management company delivering on our promise of building brave futures for our clients, our communities, and ourselves. Come build your brave future at SEI.