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Senior Compliance Manager


Summary: The  role  requires  an  enthusiastic  team member, with demonstrable compliance monitoring experience  and regulatory advisory  experience, with clear evidence  of  a  desire  to  work  in  a  dedicated  Compliance  role,  to  join  a  Compliance  department supporting  the  core  compliance initiatives  and control  framework  within  SIEL’s  regulated  business.   You will  build  relationships  with  key  stakeholders,  deliver  an  exceptional  performance  in  the  daily provision  of  assigned  regulatory  activities  and  help  successfully  drive  through  compliant  requirements  and  change whilst maintaining excellent  relations  throughout  the organisation. What you’ll do: You will work  with  and  support  the  Head  and  Deputy  Heads  of  Compliance  to  help  the  department  ensure  that  the  SIEL  governance  and  internal  control  structures  are  effective  for  the  Firm  as  a whole,  such that  SIEL  is  compliant at  all  times  with  all  applicable rules  and regulations. You will produce  and  effectively  communicate high quality  compliance  advice to various stakeholders in SIEL, assisting  the  SIEL  Compliance  department  to  achieve  its  overall  objective  of  supporting  the  business  (incl. where relevant SIEL's  international  offices)  achieve  its  objectives  in a  compliant  manner. You will work with and support the Head and Deputy Head of Compliance in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan. You will manage and review the delegated compliance monitoring work which is being performed by the Firm’s Compliance Officers and Compliance Monitoring Manager, and provide them with relevant support, training and guidance, as and when appropriate to help them develop. You will undertake and complete Compliance monitoring reviews, including thematic and desk based reviews, which are effectively conducted from planning stage to completion (including the reporting, findings and recommendations stages) in a timely manner. You will provide advice to the investment management and platform business lines of the Firm. You will assist in managing other members of the Compliance department and provide them with suitable support, training, feedback and guidance. What you’ll bring to the table: Degree (or equivalent) and/or professional qualification (e.g CISI Diploma). Substantial  regulatory consulting, monitoring or advisory  experience  and/or  experience  of  working  in  a  Compliance  function,  preferably  in  the asset  management/servicing sector. Significant knowledge or experience with  FCA and EU applicable rules  and  regulations, including: Prudential (ICAAP); Investment Advice,  Discretionary  Management, Fiduciary  Management, Product Governance,  Suitability, RDR,  Inducements,  Conflicts  of  Interest,  General  Governance  &  Organisational  Arrangements  (with  focus  on asset  management/advisory  functions  and  activities),  Approved  Persons,  SMCR,  Training  &  Competence, Outsourcing  and  Delegation,  Principal  vs  Agent,  CASS,  Record-Keeping,  Data  Protection,  Order  Handling  & Execution,  Transaction  Reporting,  FCA  Reporting,  and  generally  COBS,  SYSC,  SUP  and  MiFID  II  as  they apply  to  the  Firm’s  regulated activities  within  its  investment  management business  lin es. Attributes we value: Excellent verbal and written communication skills are essential. Excellent management and leadership skills. Effective research and analytical skills. Ability to work and interact effectively within a team. Ability to generate and communicate new innovative ideas (e.g. RegTech). SEI is an equal opportunities employer and so much more… Now in our 50th year, SEI is a leading global provider of investment management, investment processing and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the City of London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuable asset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits which include private medical care for you and your family, access to GPs online for appointments, enhanced family leave, volunteer days, access to thriving employee networks and not forgetting free fruit twice a week. SEI Investments (Europe) Limited (‘SIEL’) is authorised and regulated by the Financial Conduct Authority (FRN 191713).

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London, England, London, EC3A, United Kingdom

  • Ad ID:  11407958
  • Ad Type:  Offered
  • Posted on:  03/12/2019 14:43
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