Senior Compliance Monitoring Officer

at  SEI1GLOBAL

SUMMARY :

The SEI Group is a leading global provider of asset management and investment technology solutions. SIEL’s Compliance department is seeking a Senior Compliance Monitoring Officer with demonstrable compliance monitoring experience to join its growing team. Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will undertake, and complete compliance monitoring reviews including thematic and desk-based periodic reviews of the firm’s systems/controls and provide assurance to the business and senior management.

WHAT WE NEED FROM YOU:

5+ years’ experience in compliance monitoring, internal audit and/or working in a Compliance function, preferably in the asset or wealth management sector;
You are a well-rounded financial services compliance professional with a solid understanding of FCA (Financial Conduct Authority) rules and guidance, including Consumer Duty, MiFiD regulations, fund products, particularly UCITS, and regulatory frameworks systems and controls, SMCR (Senior Managers and Certification Regime) and Market Abuse Regulations.
Effective communication skills – written and oral;
Sound analytical mindset and problem-solving skills;
Proven task and project management skills with the ability to prioritize tasks, manage multiple projects simultaneously, and meet deadlines;
Proven skills in building relationships with key stakeholders.
Adequate IT (Information Technology) skills

Undertake and promptly complete Compliance monitoring reviews, including thematic and desk-based periodic reviews, which are effectively conducted from planning stage to completion.
Ensure completeness of evidence gathered and record keeping associated with 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.
Provide support in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan.
Work alongside the Head of Compliance Monitoring in the development and tracking of the Compliance Monitoring Plan.
Assist in the drafting, coordination, monitoring, and upkeep of SIEL’s Compliance Monitoring Manual.
Provide Senior Management with appropriate information (MI) regarding the operation and progress of SIEL’s Compliance Monitoring Plan.
Provide compliance monitoring subject matter expertise, advice, and other support as required for SIEL business.
Work collaboratively with the other compliance functions in the SEI group to implement standardised policy and procedure, where appropriate.
Perform any other tasks or activities that may be deemed necessary from time to time, including assisting in any other ad-hoc projects as required.
Deputise for the Head of Compliance Monitoring