Compliance Supervisor
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 that encourages and recognizes employee development as being a critical component in the provision of excellent client service. An open, collaborative, and detail-oriented environment underpins this business objective.
Position Description:
We are currently recruiting for a dynamic and varied Compliance Supervisor role for SEI GFSL and D&C. 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. They will advise the business of their obligations while also supporting the business in meeting its strategic objectives. This role offers the opportunity to work closely with various departments, providing a broad scope of experience and growth. It is Fund Compliance specific and will not suit someone coming from a purely AML function. Career progression within the compliance team is a key component of this role, offering ample opportunities for development and advancement.
What you will do:
* Coordinate all day-to-day compliance activities of SEI's Fund Administration and Depositary business in accordance with applicable laws and regulations and SEI corporate policies.
* Provide support in undertaking robust compliance risk assessments and developing a risk-based and proportionate annual Compliance Monitoring Plan.
* Support the Chief Compliance Officer with conducting, documenting, and reporting on the Compliance Monitoring Programme and follow-up implementation of findings/recommendations.
* Develop and maintain relationships with both business functions and provide advisory Compliance assistance when required and assist with the upstream regulatory change and horizon scanning programme.
* Provide support with all regulatory inspections, outlining the Companies' positions where appropriate during these inspections and ensuring that any follow up actions are closed out.
* Assist the Chief Compliance Officer in implementing, reviewing, and amending each of the Companies' Compliance Plan and other relevant procedures to ensure staff are aware of the role of the Compliance function and their role in ensuring the relevant Company acts in a manner compliant with regulation.
* Ensure all Regulatory submissions are made in a timely manner.
* Support the roll out and development of compliance specific training programmes.
* Preparation of periodic compliance reports to the Board of Directors of the Irish regulated entities.
* Provide assistance and support to the business in relation to regulatory and ad-hoc compliance queries.
* Maintain and administer compliance policies and procedures for both the SEI Fund Administration and Depositary business activities and future developments.
* Other duties and ad-hoc compliance projects/tasks as required.
* Ensure the logs the team are responsible for are maintained and kept up to date including the Regulatory Correspondence Log and Data Breach Log.
* Ensure familiarity with material regulatory developments through self-study and attendance at industry meetings and seminars where appropriate.
What you will bring to the table:
* Minimum 3+ years' experience in a core Compliance function within Fund Services (Fund Administration and Depository) or Regulatory Advisory in a Consulting Firm.
* 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.
* Knowledge/awareness of applicable laws, rules, and standards.
* A detailed appreciation of the regulatory framework in which each of the Companies operate in and the likely impact of key regulatory developments on business requirements.
* An understanding of the regulatory requirements of the different fund service providers within the Irish Funds industry.
* Professional Compliance qualification (LCI or other relevant discipline) or studying towards would be preferable.
* Proven people/project management experience.
* P.C. proficient, particularly regarding Excel and Word.
Attributes We Value:
* Strong oral and written communication skills.
* Capable of executing a range of tasks and analysis.
* Proactive approach to tasks and assignments.
* Ability to perform effectively and independently while meeting strict deadlines.
* Positive "can do" attitude with excellent problem-solving skills.
* Detail-oriented.
* Ability to multi-task, prioritise work and manage time to maximise efficiency and to meet strict deadlines.
Benefits you can expect:
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.
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.
#J-18808-Ljbffr