Compliance Associate
SEI Investments (Europe) Ltd. Dublin, Ireland
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.
Position Description:
We are currently recruiting for a Compliance Associate role for the Fund Administration and Depositary Business. 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.
What you will do:
* Support the Chief Compliance Officer with conducting, documenting and reporting on the compliance monitoring programme and follow-up implementation of findings / recommendations.
* 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.
* 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.
* Preparation and facilitation of materials for reporting to the Board on a monthly and quarterly basis.
* Responsibility for CBI filings/reports for both entities.
* 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.
What you will bring to the table:
* 1-3 years' experience in Investment Funds Services preferably in the Fund Administrator/Depositary sector.
* Experience of working with Fund Administrator and Depositary regulatory requirements would be preferable.
* Good technical abilities and knowledge of applicable regulations (UCITS, AIFMD, SI10).
* Familiarity with investment and regulatory issues facing the Irish Funds industry and significant investment industry experience.
* Ability to multi-task, prioritise work and manage time to maximise efficiency and to meet strict deadlines.
* Third level degree in Finance or related field desirable.
* Compliance qualification preferable or desire to attain LCI qualification.
* 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:
Healthcare for yourself, your spouse and any dependents under 18 years old. Pension Scheme, Life Assurance & Group Income Protection. Education Assistance, Sports Club Supplement, Tax Saver Travel Benefits, 2 Paid Volunteer Days per year, Employee Share Participation Scheme and Competitive Family & Annual Leave Entitlements. We are focused on ensuring a healthy work-life balance and offer 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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