Compliance Monitoring Officer

at  SEI1GLOBAL

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. An open, collaborative and detail oriented environment underpins this business objective.

POSITION DESCRIPTION:

The successful candidate will be responsible for leading the Compliance Monitoring function for GFSL and D&C and ensure there is a comprehensive Compliance Monitoring Plan in place for both entities. Reporting into the Chief Compliance Officer, the candidate must have an advanced understanding of the fund industry in Ireland and the regulatory environment. Experience in a compliance department and compliance monitoring is essential.

Support the Chief Compliance Officer with conducting, documenting and reporting on the compliance monitoring programme and follow-up implementation of findings/recommendations
Undertake and promptly complete Compliance monitoring reviews, including thematic and desk-based periodic reviews.
Ensure the completeness of evidence gathered and record keeping associated with the testing, upon which findings and conclusions are clearly based.
Produce and effectively communicate (verbally and in writing) findings in respect of compliance monitoring activities which are of high-quality, comprehensive, and thoroughly considered from all relevant angles.
Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.
Preparation of periodic compliance reports to the Board of Directors of the Irish regulated entities
Provide support in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan
Assist the Chief Compliance Officer in implementing and reviewing the 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
Provide assistance and support to the business in relation to regulatory and ad-hoc compliance queries
Maintain and administer compliance policies and procedures for the SEI Dublin’s current business activities and future developments
Other duties and ad-hoc compliance projects / tasks as required