Job Description
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.
An open, collaborative and detail-oriented environment underpins this business objective.
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Structure
* SEI Investments Global, Limited (SIGL)
* SEI Investments - Global Fund Services, Ltd. (GFSL)
* SEI Investments - Depositary and Custodial Services (Ireland) Limited (D&C)
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Position Description
SIGL is the UCITS ManCo and AIFM for a number of SEI proprietary funds. We are currently recruiting for a Compliance Associate.
The successful candidate will be part of a wider Legal and Compliance Team but continuously interact with various areas of the business, gaining exposure to various parts of the Asset Management business and SEI.
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Responsibilities
1. Conduct daily oversight of the investment monitoring process for SIGL's funds under management and escalate where applicable.
2. Complete reviews as allocated from the compliance monitoring programme and ensure they are completed within the required time frame.
3. Review and analyse correspondence received from third parties such as the Central Bank of Ireland and service providers to ensure timely allocation and response.
4. Analyse regulatory and legislative developments and assess their applicability and impact to the business.
5. Develop a strong understanding of the business, operating environment and fund structures.
6. Liaise with the Compliance Team on the development and implementation of its compliance training programme.
7. Review and monitor employee Code of Conducts and maintain register for completion by new employees and annual attestation.
8. Oversee and maintain the core compliance regulatory registers; Breaches, Complaints, Errors.
9. Preparation and facilitation of materials for reporting to the Board on a monthly and quarterly basis.
10. Preparation of monthly and quarterly Compliance reporting.
11. Responsibility for CBI filings/reports for the SIGL and its funds under management.
12. Collaborate with the Compliance team and cross-company teams on any ad-hoc projects/requests.
13. Work with the Compliance team to develop effective controls, processes and procedures.
14. Assist with reviewing and updating risk assessments.
15. Review and maintain documentation such as the Compliance Manual, Policies and Procedures and ensure documents are periodically reviewed and version controlled.
16. Co-ordinate information requests for Themed Inspections from the CBI; other information requests and PRISM interviews.
17. Review AML/CTF risk assessments and provide support to the MLRO to conduct AML monitoring activities.
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Requirements
* 3-5 years' Investment Funds Services industry experience in Europe essential.
* Deep understanding of UCITS, AIFMD, EU and Central Bank of Ireland regulatory requirements essential.
* Knowledge and practical experience of the Irish Funds regulatory environment, applicable laws, rules and standards with dedication to continue to develop within this subject matter.
* Third level degree in Finance or related field desirable.
* Compliance qualification preferable.
* Proven experience in Compliance or related area.
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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.
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Benefits
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.
Annual Employee Share Participation Scheme.
We are focused on ensuring a healthy work-life balance and offer a hybrid working model and flexible working hours.
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