Deputy Head of Compliance - SEI Investments (Europe) Ltd.

Deputy Head of Compliance - SEI Investments (Europe) Ltd.

The SEI Investments (Europe) Limited (SIEL or the Firm) Compliance Department is responsible for creating, implementing, monitoring, and managing the Firm's procedures, key controls, and policies to ensure robust control, risk, and governance structures. The department collaborates with business units to oversee and enhance regulatory and risk controls, ensuring compliance with applicable laws and regulations.

SIEL's Compliance Department is part of the broader Global Integrated Compliance Team of its parent company, SEI Investments Inc. While SIEL maintains its own governance framework, it aligns with the global organization's strategy. Collaboration with the wider compliance group is essential to ensure consistency in regulatory approaches, share best practices, and contribute to enterprise-wide compliance initiatives.

Job Description

The Deputy Compliance role reports to SIEL's Chief Compliance Officer (CCO or SMF16) and plays a key role in supporting the day-to-day management of the SIEL Compliance Team, as well as overseeing critical responsibilities delegated by the CCO. This position is well-suited for a compliance professional with a strong regulatory background and leadership skills who is eager to broaden their impact and take on increasing responsibilities in compliance oversight.

The successful candidate will work collaboratively with key stakeholders to strengthen the firm's compliance framework and contribute to a culture of integrity within SIEL and across SEI's Global Integrated Compliance Team.

What you will do:

• Assist and support the SMF16 in ensuring that the Firm's governance and internal control structures remain effective and compliant with all applicable regulations.
• Provide strategic compliance advice to the business on firm-wide regulatory matters, including prudential regulation (MIFIDPRU, ICARA), remuneration codes, governance, and organizational arrangements.
• Act as a key advisor and escalation point for the Firm's Compliance Officers, ensuring consistent and well-supported regulatory guidance.
• Represent Compliance in Firm and/or Group Committees and Working Groups, with increasing responsibility in chairing key compliance-related forums.
• Assist in the development and day-to-day management of the Firm's dedicated Compliance resources, providing guidance, mentorship, and performance feedback.
• Review, assess and validate compliance reports and regulatory deliverables to ensure high quality, consistency, and alignment with regulatory expectations.
• Ensure timely resolution of regulatory breaches and complaints, overseeing appropriate regulatory notifications and responses.
• Lead the oversight, maintenance, and ongoing evolution of the Firm's Compliance Risk Assessment, collaborating with Senior Management to conduct horizon scanning and to evaluate regulatory, governance and data protection matters.
• Draft, update, and align compliance policies and procedures with regulatory changes and best practices.
• Provide timely and comprehensive updates to Senior Management, Committees, and the Board as needed.
• Monitor regulatory developments, assess their impact, and lead implementation to maintain compliance.
• Support ad hoc compliance projects and provide leadership coverage for the Compliance team.
• Strengthen the Firm's compliance culture by actively engaging stakeholders and promoting best practices.

What we need from you:

• Remain informed regarding market conditions, regulatory developments, and industry best practices.
• Foster a culture of risk awareness and ensure adherence to firm-wide risk management policies and frameworks.
• Take ownership of identifying and escalating risk events while ensuring proper incident management procedures.
• Comply with all relevant FCA regulations and firm policies and procedures.

What we would like from you:

• Experience in a compliance role within a regulated financial services firm, or transferable experience in risk management, legal, audit, or governance.
• Familiarity with FCA regulations, including SYSC, SUP, COBS, MIFIDPRU, ICARA, governance structures, or prudential risk management.
• Strong communication skills, with the ability to engage effectively with stakeholders at all levels.
• Analytical mindset with the ability to assess regulatory risks and contribute to compliance solutions.
• Experience with compliance monitoring, risk assessments, regulatory reporting, or governance frameworks.
• Ability to work independently, collaboratively, and proactively within a high-performing team.
• Strong organizational and project management skills, with the ability to prioritize tasks and meet deadlines.
• Comfortable using Microsoft Office and other compliance-related technology solutions.
• A commitment to professional growth and an interest in developing leadership capabilities over time.

SEI's competitive advantage:

To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about.

We are a technology and asset management company delivering on our promise of building brave futures (SM) -for our clients, our communities, and ourselves. Come build your brave future at SEI.

SEI is an Equal Opportunity Employer and so much more...

After over 50 years, SEI remains 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.

SEI Investments (Europe) Ltd ('SIEL') is authorised and regulated by the Financial Conduct Authority (FRN 191713).