Asset Management Compliance Specialist

SEI; Oaks (PA); On-site; USD 70,000 - 95,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Tuition reimbursement

Parental leave

Paid time off

Back-up childcare

Stock purchase plan

Employee networks

Job summary

SEI is seeking a Compliance Associate to support Asset Management Compliance across SIMC and SIDCO, offering exposure to adviser and broker-dealer compliance and opportunities to develop technical and professional skills.

You will participate in electronic communications supervision, testing, regulatory support, and governance activities while collaborating with compliance, legal, and business stakeholders.

Qualifications

• 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.
• 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).

Responsibilities

• Conduct electronic communications supervision and escalate potential exceptions.
• Support compliance testing, including evidence gathering, documentation, issue tracking, and reporting.
• Assist with regulatory exams, inquiries, and internal reviews.
• 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.
• 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.

Skills

Analytical skills

Organizational skills

Communication skills

Time management

Microsoft Office

Education

Bachelor's degree or equivalent experience

Tools

Microsoft Excel

PowerPoint

Job description

SEI is seeking a Compliance Associate to support Asset Management Compliance across SIMC and SIDCO, offering exposure to adviser and broker-dealer compliance and opportunities to develop technical and professional skills.

You will participate in electronic communications supervision, testing, regulatory support, and governance activities while collaborating with compliance, legal, and business stakeholders.