Compliance Associate

021 SEI Investments Company; Oaks (PA); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Education assistance

Commuter benefits

Paid holidays

Job summary

SEI Investments Company is seeking a Compliance Associate to support Asset Management Compliance across SIMC and SIDCO. The role involves monitoring, testing, regulatory support, and employee compliance administration, along with operational activities.

You will gain broad exposure to investment adviser and broker-dealer compliance while developing technical expertise and professional skills for a rewarding career in financial services compliance.

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.
• Exercise sound judgment by identifying potential issues, asking questions, and escalating appropriately.
• 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

• Monitor & testing activities to ensure regulatory compliance.
• Support electronic communications supervision and related processes.
• Assist with compliance testing, including evidence gathering, documentation, issue tracking, and reporting.
• Assist with regulatory exams, inquiries, and internal reviews.
• Regulatory & Employee Compliance support regulatory filings and disclosures, including ADV season deliverables and sub-adviser ADV distribution.
• 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.
• Operations & Governance 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 across SIMC, SIDCO, and related business units.

Skills

Analytical thinking

Communication

Organization

Time management

Attention to detail

Team collaboration

Problem solving

AI/automation interest

Education

Bachelor's degree or equivalent experience

Tools

Excel

PowerPoint

Job description

The Compliance Associate supports Asset Management Compliance through monitoring, testing, regulatory support, employee compliance administration, and operational activities across SEI Investments Management Corp. (SIMC) investment advisory, SEI Investments Distribution Co (SIDCO) broker-dealer, and related business units. The role provides broad exposure to investment adviser and broker-dealer compliance while developing technical expertise and professional skills.

What will you do:

• Monitoring & Testing
• Conduct electronic communications supervision and ...
• Support compliance testing, including evidence gathering, documentation, issue tracking, and reporting.
• Assist with regulatory exams, inquiries, and internal reviews.
• Regulatory & Employee Compliance Support regulatory filings and disclosures, including ADV season deliverables and sub-adviser ADV distribution.
• 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.
• Operations & Governance 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 across SIMC, SIDCO, and related business units.

What we need from you:

• 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.
• Exercise sound judgment by identifying potential issues, asking questions, and escalating appropriately.
• 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).

What we would like from you:

• Prior compliance experience is helpful but not required; experience in compliance, legal, audit, risk, operations, or financial services is a plus.
• Basic knowledge of investment adviser, broker-dealer, Code of Ethics, or regulatory compliance concepts.
• Strong organization, documentation, analytical thinking, follow-through, and communication skills.
• Interest in developing a career in financial services compliance.
• Objective, Balanced and Decisive Thorough, organized, accurate Self-aware and Conscientious Logical and Analytical Independent Self Starter who follows through Articulate and Effective Communicator Intellectual Curiosity Commitment to Professional Development Team Player Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun.

Please see our website for more information. https://www.seic.com/

Why this role is different:

• Structured training, mentorship, and professional development
• Regulatory exam, filing, and real-world compliance experience
• Licensing support and industry education opportunities
• Opportunities to leverage AI, automation, and process improvements
• Clear development path toward Senior Associate roles

SEI’s competitive advantage:

To help you stay energized, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, a strong retirement plan, tuition reimbursement, support for working parents and flexible Paid Time Off (PTO) so you can relax, recharge and be there for the people you care about.

• healthcare (medical, dental, vision, prescription, wellness, EAP, FSA)
• life and disability insurance (premiums paid for base coverage)
• 401(k) match
• education assistance
• commuter benefits
• up to 11 paid holidays/year
• 21 days PTO/year pro-rated for new hires which increases over time
• paid parental leave
• back-up childcare arrangements
• paid volunteer days
• a discounted stock purchase plan
• investment options
• access to thriving employee networks and more

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.

The position title reflected in this job description is aligned with SEI's current internal job architecture. As part of SEI's role and career framework, internal job titles may not directly correspond to external market titles and may differ from titles previously assigned during an employee's tenure or at the time of hire.

SEI is an Equal Opportunity Employer and so much more…

After over 50 years in business, SEI remains a leading global provider of investment processing, investment management, and investment operations solutions. Reflecting our experience within financial services and financial technology our offices encompass an open floor plan and numerous art installations designed to encourage innovation and creativity in our workforce. We recognize that our people are our most valuable asset and that a healthy, happy, and motivated workforce is key to our continued growth. At SEI, we’re (literally) invested in your success. We offer our employees paid parental leave, back-up childcare arrangements, paid volunteer days, education assistance and access to thriving employee networks.

SEI is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.

AI Acceptable Use in the application and interview process: SEI acknowledges the growing integration of artificial intelligence (AI) tools into individuals’ personal and professional lives. If you intend to incorporate the use of any AI tools at any stage of the application and/or interview process, please ensure you have reviewed and adhere to our AI use guidelines.

We are global provider of technology, operations, and asset management services for the financial services industry. We tailor our solutions to help clients make effective use of their capital—whether that’s money, time, or talent—to grow and better serve customers. At SEI, we’re committed to fostering an inclusive workplace where everyone has the same opportunities to grow, develop, and succeed.