Compliance Officer

Position Description SEI Investments Company (SEI) is a global provider of investment processing, investment management, and investment operations solutions. SEI Private Trust Company (SPTC) is a limited purpose federal savings association regulated by the Office of the Comptroller of the Currency (OCC) and a wholly owned subsidiary of SEI. SPTC has been providing custodial and trustee services to institutional investors, high net worth individuals and others since 2001 and has a solid reputation in the banking industry. More than 100 financial institutions outsource their own systems, accounting and processes to SPTC. The Legal and Compliance Team seeks a Compliance Officer to support and core compliance functions within SPTC.   The Compliance Officer is the primary coordinator for regulatory examinations.  In that capacity the Compliance Officer works with the Chief Compliance Officer to lead, manage and ensure readiness for regulatory examinations. As a liaison with regulators, the Compliance Officer is expected to maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting.  Specifically, the Compliance Officer's responsibilities entail the following: o Develop, monitor and assist with the maintenance of the testing program, which is designed to ensure that all areas of the company are complying with applicable laws and regulations. o Plan and perform regular testing of the applicable business lines to ensure compliance with applicable laws, regulations, and acts. o Provide reports that define the scope of testing and describe findings and corrective action. o Assist in the resolution of anti-money laundering escalations including enhanced due diligence investigations for high risk relationships. o Support the resolution of customer identification escalations from supported business areas. o Design, administer and track Compliance and Anti-Money Laundering training. o Provide analysis, oversight and requested information for subpoenas, client inquires and other regulatory or audit requests. o Act as coordinator or participating committee member in projects involving regulatory change. o Assist with the design and implementation of a compliance based risk assessment in line with corporate and regulatory expectations. o Work with Chief Compliance Officer to resolve issues and address deficiencies noted in compliance testing reviews, risk assessments, internal audits and regulatory examinations. o Direct discussions with business units and compliance subject matter experts to recommend and implement solutions to compliance findings. Position Requirements o Minimum five years compliance, regulatory or audit experience. o Requires a Bachelor's degree in business, finance or a related field o Basic knowledge of banking/financial regulatory compliance, compliance testing, auditing, financial principals and regulatory issues. o Working knowledge of federal and state compliance laws and regulations. o Excellent verbal and written communication skills. o Effective project management, organizational, analytical and problem resolution skills. o Must be results oriented and have the ability to work independently and meet deadlines. o Working knowledge of all Microsoft applications (Access, Excel, Word and PowerPoint). Preferred Skills o Broad understanding of SEI's business and the investment management industry; knowledge of and experience with OCC regulations preferred. o Excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company. o Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities. o Proven ability to develop and implement new business plans or change direction in a dynamic environment. o Excellent judgment and decision-making skills; ability to analyze and respond to issues. o Familiarity with and experience in using relevant systems and applications, as applicable P26939
Salary Range: NA
Minimum Qualification
5 - 7 years

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