Deputy Head of Compliance

at  SEI1GLOBAL

The SEI Investments (Europe) Limited (“SIEL” or the “Firm”) Compliance Department is responsible for creating, implementing, monitoring, and managing the Firm’s procedures, key controls, and policies to ensure robust control, risk, and governance structures. The department collaborates with business units to oversee and enhance regulatory and risk controls, ensuring compliance with applicable laws and regulations.
SIEL’s Compliance Department is part of the broader Global Integrated Compliance Team of its parent company, SEI Investments Inc. While SIEL maintains its own governance framework, it aligns with the global organization’s strategy. Collaboration with the wider compliance group is essential to ensure consistency in regulatory approaches, share best practices, and contribute to enterprise-wide compliance initiatives.
Job Description
The Deputy Compliance role reports to SIEL’s Chief Compliance Officer (“CCO or SMF16”) and plays a key role in supporting the day-to-day management of the SIEL Compliance Team, as well as overseeing critical responsibilities delegated by the CCO. This position is well-suited for a compliance professional with a strong regulatory background and leadership skills who is eager to broaden their impact and take on increasing responsibilities in compliance oversight.
The successful candidate will work collaboratively with key stakeholders to strengthen the firm’s compliance framework and contribute to a culture of integrity within SIEL and across SEI’s Global Integrated Compliance Team.”

WHAT WE NEED FROM YOU:

Remain informed regarding market conditions, regulatory developments, and industry best practices.
Foster a culture of risk awareness and ensure adherence to firm-wide risk management policies and frameworks.
Take ownership of identifying and escalating risk events while ensuring proper incident management procedures.
Comply with all relevant FCA regulations and firm policies and procedures.

Assist and support the SMF16 in ensuring that the Firm’s governance and internal control structures remain effective and compliant with all applicable regulations.
Provide strategic compliance advice to the business on firm-wide regulatory matters, including prudential regulation (MIFIDPRU, ICARA), remuneration codes, governance, and organizational arrangements.
Act as a key advisor and escalation point for the Firm’s Compliance Officers, ensuring consistent and well-supported regulatory guidance.
Represent Compliance in Firm and/or Group Committees and Working Groups, with increasing responsibility in chairing key compliance-related forums.
Assist in the development and day-to-day management of the Firm’s dedicated Compliance resources, providing guidance, mentorship, and performance feedback.
Review, assess and validate compliance reports and regulatory deliverables to ensure high quality, consistency, and alignment with regulatory expectations.
Ensure timely resolution of regulatory breaches and complaints, overseeing appropriate regulatory notifications and responses.
Lead the oversight, maintenance, and ongoing evolution of the Firm’s Compliance Risk Assessment, collaborating with Senior Management to conduct horizon scanning and to evaluate regulatory, governance and data protection matters.
Draft, update, and align compliance policies and procedures with regulatory changes and best practices.
Provide timely and comprehensive updates to Senior Management, Committees, and the Board as needed.
Monitor regulatory developments, assess their impact, and lead implementation to maintain compliance.
Support ad hoc compliance projects and provide leadership coverage for the Compliance team.
Strengthen the Firm’s compliance culture by actively engaging stakeholders and promoting best practices.