Posted in Compliance 13 days ago.
Type: Full Time
When you step into SEI - anywhere in the world - you know you're not inside a traditional financial services company. We have no offices. Our open innovation spaces spur creativity, the provocative artwork inspires conversation, and the flexible work-life balance drives personal and professional growth. We are a place to inspire your work, build your voice, and grow your community. We're different. And we're proud of it.
SEI has an immediate opening for a highly motivated, results-orientated Compliance Officer supporting shared compliance functions within the Asset Management Compliance team ('Team'). The Team supports SEI's investment advisor subsidiary, SEI Investments Management Corporation ('SIMC'), and SEI's broker-dealer subsidiary, SEI Investment Distribution Co. ('SIDCO'). SIMC is a federally registered investment advisor with over $180 billion assets under management. SIMC provides services to a variety of domestic and foreign pooled products, as well as retail and institutional clients. SIDCO is an introducing broker dealer and principal underwriter to the SEI Funds as well as other third party funds.
The Compliance Officer will be mainly responsible for implementing and administering the code of ethics and personal securities trading activities. The Compliance Officer will also conduct compliance training and testing across multiple business units. The position will include interaction with a number of SEI business units including the Investment Management Unit, SEI Legal and other SEI competencies, such as risk and finance, in the design, development, implementation and oversight of SEI's investment services and products.
What you'll do:
- Maintain the personal securities trading system including setting up brokerage feeds, system rules and employee brokerage accounts
- Administer Code of Ethics requirements including employee onboarding as well as coordinating the quarterly and annual certifications
- Review, approve and maintain pre-clearance request and Outside Business Activity records
- Develop reporting to analyze unusual behavior and identify potential violations in personal securities trading
- Determine if employees are candidates for SEC and/or FINRA registration and coordinate the licensing process
- Develop, coordinate and follow-up with employees regarding initial, annual training and continuing education requirements
- Compliance testing across business units, investment management teams and the broker-dealer
- Ongoing tasks and longer-term projects to support the compliance programs as needed
This role can be either based in Oaks, PA or any location within the USA.
What you bring to the table:
- BA/BS degree
- Demonstrable compliance experience
- Series 7 and Series 24 license preferred
- Proficiency in personal securities trading systems
- Systems and data oriented with advanced working knowledge of Microsoft Word and Excel. Light coding experience is a plus.
- Self-starter with excellent organizational and time management skills
- Strong written and communication skills
- Detail-oriented and capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
- Ability to maintain confidentiality and data accuracy when handling sensitive information
Attributes we value:
- Team Player
- High Integrity/Ethics
- Good Communicator/Listener
- Sound Judgment
- Dedicated to Self-Improvement
Physical Demands and Work Environment:
While performing the duties of this job, the work environment may require an individual to move around the office and from building to building which may expose the individual to weather conditions outside. The individual has to be able to sit or be stationary at a computer and use computers for extended periods of time and occasionally lift and/or move up to 20 pounds. The noise level in the environment is moderate and the individual must be able to communicate and exchange information with people in person and over the telephone and email.
Please be aware that SEC Rule 206(4)-5 'Political Contributions by Certain Investment Advisers' (the 'Rule') may place certain restrictions on certain subsidiaries of SEI as a result of your past and future political contributions. Therefore, an offer for this position may be contingent on you providing SEI, a completed questionnaire regarding political contributions made by you and members of your household, and that SEI may reject your application if SEI determines in its sole discretion that the effect of such political contributions under the Rule could have an adverse impact on SEI's current or prospective business activities and strategies. Any misrepresentation of or omission of any contributions from this information request, will be cause for your rejection or dismissal from employment.
SEI is an Equal Opportunity Employer and so much more…
After over 50 years in business, SEI remains a leading global provider of investment processing, investment management, and investment operations solutions. Reflecting our experience within financial services and financial technology our Oaks, PA office encompasses an open floor plan and numerous art installations designed to encourage innovation and creativity in our workforce. We recognize that our people are our most valuable asset and that a healthy, happy, and motivated workforce is key to our continued growth. At SEI, we're (literally) invested in your success. We offer our employees paid parental leave, back-up childcare arrangements, paid volunteer days, education assistance, and access to thriving employee networks.
SEI is an equal opportunity / affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability status, protected veteran status, or any other characteristic protected by law..