Compliance Subject Matter Expert, Global Regulatory Risk & Compliance Services
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POST DATE 8/23/2016
END DATE 10/15/2016
JOB DESCRIPTIONAPPLY Position Description
SEI (NASDAQ:SEIC) is a leading global provider of investment processing, fund processing, and investment management business outsourcing solutions that help corporations, financial institutions, financial advisors, and ultra-high-net-worth families create and manage wealth.
This postion will serve as key subject matter expert for our Global Regulatory Risk and Compliance (GRRC) solution including serving as a key resource in GRRC sales and client meetings. Liaise with IMS Solutions Team as a compliance subject matter expert and business resource to ensure that GRRC solution needs and requirements are met. Serve as a key representative of the business aspect for all development and technology enhancement needs by working with internal developers and external systems vendors in matters involving client-requested or solution enhancements. Flexible as to whether person is located in New York City or Philadelphia office; Philadelphia preferred.
Candidate must have 5-10 years of regulatory compliance experience with an asset manager (buy-side); compliance consultancy; audit firm; law firm; broker-dealer (sell-side); or technology firm. Candidate must have expertise in at least one of the following subject matter areas:
Firm or fund compliance: Investment Company Act; Advisers Act, 1934 Act, SEC & FINRA rules
Investor compliance: AML/KYC, tax (e.g., FATCA, etc.)
Responsibilities of this position include the following:
Support internal counterparts to close sales
Build and maintain credible relationships with prospects, clients and industry "Centers of Influence"
Maintain a strong knowledge of buy-side industry
Serve as a resource in the RFP process
Speak at industry conferences, seminars and trade shows
Actively participate in 1 or 2 industry associations
Required Experiences and Skills
B.S./B.A. in Finance, Accounting or related field; Juris Doctor and compliance certifications welcome
Adaptable to fast-paced, challenging environment
Excellent interpersonal skills
Excellent organizational skills
Excellent communication and influencing skills
Strong analytical and critical thinking skills
Solid PowerPoint, Word, Excel and internet skills
Moderate travel is required
Physical Demands and Work Environment
While performing the duties of this job, the work environment may require an individual to move around the office and from building to building which may expose the individual to weather conditions outside. The individual has to be able to sit or be stationary at a computer and use computers for extended periods of time and occasionally lift and/or move up to 20 pounds. The noise level in the environment is moderate and the individual must be able to communicate and exchange information with people in person and over the telephone and email.
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.