Asset Management Compliance Specialist

SEI; United States; Remote; USD 65,000 - 90,000; Full time

Benefits offered by this job

Healthcare

401(k) match

Education assistance

Commuter benefits

PTO

Parental leave

Job summary

The Compliance Associate role at SEI supports Asset Management Compliance across SEI Investments Management Corp. (SIMC) and SEI Investments Distribution Co (SIDCO), offering exposure to adviser and broker-dealer compliance and opportunities to build technical expertise.

This position emphasizes structured training, mentorship, and professional development, with a focus on regulatory filings, governance, and process improvements across units.

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 with compliance, legal, market unit, and business stakeholders.

Responsibilities

• Monitor electronic communications and elevate potential exceptions.
• Support compliance testing, including evidence gathering, documentation, issue tracking, and reporting.
• Assist with regulatory exams, inquiries, and internal reviews.
• Support regulatory filings and disclosures, including ADV season deliverables.
• Maintain regulatory calendars, licensing trackers, certification records, and recurring metrics.
• Provide backup for Code of Ethics administration, personal trading, certifications, pre-clearance, attestations, and routine inquiries.
• Maintain compliance manuals, policies, procedures, risk assessment documentation, and evidence retention records.
• Triage AMC mailbox inquiries and develop standardized responses, templates, and process improvements.
• Support onboarding, training administration, compliance communications, and longer-term projects.

Skills

Analytical thinking

Communication skills

Attention to detail

Time management

Team collaboration

Microsoft Excel

PowerPoint

Education

Bachelor's degree or equivalent experience

Tools

Microsoft Excel

PowerPoint

Job description

The Compliance Associate role at SEI supports Asset Management Compliance across SEI Investments Management Corp. (SIMC) and SEI Investments Distribution Co (SIDCO), offering exposure to adviser and broker-dealer compliance and opportunities to build technical expertise.

This position emphasizes structured training, mentorship, and professional development, with a focus on regulatory filings, governance, and process improvements across units.