Compliance Associate Job Northern Kentucky USA,Finance & Banking

The Compliance Associate supports Asset Management Compliance through monitoring, testing, regulatory support, employee compliance administration, and operational activities across SEI Investments Management Corp. (SIMC) investment advisory, SEI Investments Distribution Co (SIDCO) broker-dealer, and related business units. The role provides broad exposure to investment adviser and broker-dealer compliance while developing technical expertise and professional skills.

What will you do:

Monitoring & Testing: conduct electronic communications supervision and upscale potential exceptions. Support compliance testing, including evidence gathering, documentation, issue tracking, and reporting. Assist with regulatory exams, inquiries, and internal reviews.
Regulatory & Employee Compliance:
Support regulatory filings and disclosures, including ADV season deliverables and sub-adviser ADV distribution. Maintain regulatory calendars, filing schedules, licensing trackers, certification records, and recurring metrics. Provide backup support for Code of Ethics administration, personal trading, certifications, pre‑clearance, attestations, and routine employee inquiries.
Operations & Governance:
Maintain compliance manuals, policies, procedures, risk assessment documentation, and evidence retention records. Triage AMC mailbox inquiries and develop standardized responses, templates, and process improvements. Support onboarding, training administration, compliance communications, and longer‑term projects across SIMC, SIDCO, and related business units.

What we need from you:

Bachelor's degree or equivalent experience.
Internship or experience in financial services, compliance, asset management, regulatory reporting, governance, or data analytics.
Strong analytical, organizational, communication, and time management skills.
Execute recurring compliance activities and support longer‑term projects under regular supervision.
Exercise sound judgment by identifying potential issues, asking questions, and escalating appropriately.
Collaborate effectively with compliance, legal, market unit, and business stakeholders.
Contribute to process improvement, automation, and operational resiliency initiatives via experience with, or interest in, AI, automation, and technology‑driven workflow optimization.
Careful attention to detail.
Excellent oral and written communication skills.
Strong technological capabilities, with skills in Microsoft Office product suite (Excel and Powerpoint in particular).

What we would like from you:

Prior compliance experience is helpful but not required; experience in compliance, legal, audit, risk, operations, or financial services is a plus.
Basic knowledge of investment adviser, broker‑dealer, Code of Ethics, or regulatory compliance concepts.
Strong organization, documentation, analytical thinking, follow‑through, and communication skills.
Interest in developing a career in financial services compliance.
Objective, Balanced and Decisive Thorough, organized, accurate Self‑aware and Conscientious Logical and Analytical Independent Self Starter who follows through Articulate and Effective Communicator Intellectual Curiosity Commitment to Professional Development Team Player Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun.

Why this role is different:

Structured training, mentorship, and professional development.
Regulatory exam, filing, and real‑world compliance experience.
Licensing support and industry education opportunities.
Opportunities to leverage AI, automation, and process improvements.
Clear development path toward Senior Associate roles.

SEI’s competitive advantage:

To help you stay energized, engaged and inspired, we offer a wide range of…