AML & Financial Crimes Compliance Lead

SEI; Oaks (PA); On-site; USD 125,000 - 170,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Tuition reimbursement

Paid time off (PTO)

Job summary

SEI seeks an experienced compliance professional to strengthen the oversight, administration and enhancement of compliance programs for STARS, SEI’s transfer agent and financial crime controls.

The role partners across business, operations, technology, legal and compliance to design, implement and monitor governance processes that align with federal securities laws, transfer agent rules, BSA and OFAC obligations.

Qualifications

• Understanding of global financial services and financial crimes compliance obligations.
• Strong written and verbal communication skills.
• Ability to manage multiple deadlines across competing priorities.
• Experience supporting registered transfer agent activities or other regulated financial institutions.
• Familiarity with SEC transfer agent regs, the Investment Company Act, BSA, OFAC.
• Experience with sanctions screening processes and alert handling.
• Ability to translate regulatory requirements into practical controls and reporting.
• Experience with monitoring, testing, risk assessments, issue tracking and remediation.

Responsibilities

• Assist in developing and maintaining transfer agent compliance policies, procedures, controls and governance.
• Monitor regulatory developments and assess impact on AML, sanctions and related controls; provide guidance.
• Oversee AML and sanctions framework including risk assessments and reporting to management.
• Review escalated sanctions screening alerts and coordinate with Legal, AML, and operations.
• Conduct or support periodic compliance testing and QA reviews of transfer agent and related activities.
• Support enterprise AML programs including policy governance and regulatory change implementation.
• Assist investigations into suspicious activity, sanctions, fraud and elder financial exploitation.
• Prepare compliance reporting, metrics and risk assessments for management and regulators.
• Support examinations, audits and due diligence requests related to transfer agent and AML.

Skills

AML compliance

Sanctions screening

Regulatory reporting

Policy governance

Risk assessment

Interdepartmental collaboration

Tools

RegTech tools

Job description

SEI seeks an experienced compliance professional to strengthen the oversight, administration and enhancement of compliance programs for STARS, SEI’s transfer agent and financial crime controls.

The role partners across business, operations, technology, legal and compliance to design, implement and monitor governance processes that align with federal securities laws, transfer agent rules, BSA and OFAC obligations.