Compliance Officer, Business

SEI’s Legal, Compliance and Risk team has an immediate opening for a Compliance Officer. The Compliance Officer will support the day-to-day execution of compliance activities for registered investment companies, including mutual funds, interval/closed end funds and ETFs. This role focuses on regulatory filings, board reporting, adviser oversight, and compliance monitoring in support of ’40 Act requirements.

The position has a strong emphasis on data analytics, technology, and AI-enabled compliance processes, leveraging data-driven insights and automation to enhance the effectiveness, scalability, and accuracy of compliance operations. Working under the guidance of senior compliance professionals, the role is responsible for delivering high-quality work in a highly regulated and increasingly technology-driven environment.

• Compliance Operations and Regulatory Support:
  Support recurring compliance activities, including monitoring tasks, documentation updates, workflow tracking, deadline management, and regulatory calendar activities.
• Regulatory Filings and Reporting:
  Assist with regulatory filings, compliance reports, questionnaires, certifications, and related supporting documentation.
• Board and Governance Materials:
  Compile and organize board and committee materials, including supporting exhibits and documentation for 15(c), Rule 38a-1, and related governance processes.
• Risk Identification and Escalation:
  Use data and technology tools to identify inconsistencies, missing information, process gaps, and potential risk indicators, escalating issues to senior team members as appropriate.
• Dashboards and Reporting Tools:
  Develop and maintain dashboards, trackers, and reporting tools using Excel, Power BI, or similar platforms to improve visibility into compliance activities and communicate information clearly.
• AI, Automation, and Structured Data:
  Support AI-enabled tools, structured data practices, and automation to streamline document review, data extraction, workflow management, and compliance recordkeeping.
• Process Improvement:
  Partner with senior team members to identify opportunities to enhance compliance workflows, improve efficiency, and strengthen process consistency.
• Due Diligence Support:
  Assist the Global Due Diligence Team in gathering, organizing, and maintaining adviser and sub-adviser due diligence materials, compliance documentation, certifications, and related records.
• Records Management and Audit Readiness:
  Maintain compliance records, trackers, and centralized documentation to support accuracy, data integrity, audit readiness, and timely responses to exams, audits, and internal information requests.

• Bachelor’s degree from an accredited college or university, or equivalent work experience
• Internship or experience in financial services, asset management, compliance, data analytics, registered funds, regulatory reporting, or governance processes
• Strong analytical, organizational, and communication skills, with the ability to manage multiple priorities and deliver accurate work product in a regulated environment
• 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). Experience with, or interest in, AI tools, automation, or technology-enabled workflow optimization

• Objective, Balanced and Decisive
• Thorough, organized, accurate
• Self-aware and Conscientious
• Logical and Analytical
• Independent Self Starter
• Articulate and Effective Communicator
• Intellectual Curiosity
• Commitment to Professional Development
• Team Player
• Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion,…