Specialist, Global Regulatory Risk and Compliance 7/28/2018
JOB DESCRIPTIONAPPLY Job ID #: P26152
Location: Oaks, PA
Position Category: Financial Services
Employment Type: Full-time
Education Required: Bachelors Degree
Experience Required: Minimum of 2 years
Travel Percentage: 0
SEI is a leading global provider of outsourced asset management, investing processing and investment operations solutions. SEI Investment Manager Services, a division of SEI (www.seic.com), provides total operations outsourcing solutions to global investment managers and is a leading provider of accounting and administrative services to the investment management industry.
The Global Regulatory Risk and Compliance (GRRC) Specialist is responsible for ensuring the successful and accurate completion of certain compliance and administrative servicing requirements for investment manager products for assigned funds. This individual will operate in a team environment and rely heavily on the use of the micro-computer and various software packages.
The responsibilities for this position include, but are not limited to, the following items:
Manage various filing schedules in support of the regulatory filing process
Create and communicate timelines to the appropriate internal and external clients for each filing production cycle
Coordinate and facilitate kick-off meetings for each scheduled filing period so that internal and external clients are aware of expectations
Act as the liaison among the SEI s Internal Support teams to ensure efficient and timely reporting
Prepare ad-hoc regulatory reports and other deliverables
Serve as project manager for the production of the various services offered by GRRC
Identify and resolve issues and errors on a timely basis with appropriate documentation and escalation
Review data being provided by SEI in order to complete regulatory filings and post-trade compliance notices
Serve as the primary contact for client questions and inquiries regarding the various requirements and data points of regulatory filings
Test Regulatory Reporting module enhancements as part of the on-going release process
Create efficiencies and improvements to existing processes
Develop and document team procedures for various client-specific tasks and other functions as dictated by the services offered
Support senior management with the overall strategy and vision of the GRRC team
Participate in other team projects and tasks as necessary.
BS/BA degree in accounting or finance
Minimum of 2 years of related work experience
Working knowledge of basic accounting concepts
Solid understanding of different investment types, especially derivatives
Knowledge of the investment management industry
Experience with Sungard InvestOne, InvestTier, Investran and SS&C Advent Geneva systems a plus
Ability to understand and interpret regulations and regulatory guidance as it pertains to Investment Advisor compliance and apply knowledge in an operational environment
Ability to perform detailed reviews of financial data and detect inaccurate or missing items, and recognize potential problems and escalate them to the appropriate levels
Strong client service skills
Willingness to learn new systems, concepts and broaden knowledge in the industry
Ability to work under pressure and manage multiple tasks simultaneously
Demonstrated ability to produce high quality work
Excellent team player with ability to take ownership of role and work under own initiative
Strong verbal, written communication, and client service skills
Working knowledge of the Microsoft Office Suite with emphasis on Excel and Word
Regular and reliable attendance in accordance with position, business and/or client needs.
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.
SEI is an equal opportunity / affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.
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.
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