Compliance Associate: Growth & AI-Driven Oversight

SEI Corporation; Northern (KY); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Healthcare

401(k) match

Education assistance

Paid holidays

Paid time off

Parental leave

Job summary

SEI Corporation is seeking a Compliance Associate to support Asset Management Compliance across SIMC and SIDCO. You will monitor, test, and assist with regulatory filings, while maintaining calendars, records, and governance documentation.

The role offers exposure to investment adviser and broker-dealer compliance and opportunities to contribute to process improvements with AI-driven workflows. The ideal candidate has a Bachelor's degree or equivalent, relevant internship or experience, and

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 and test electronic communications supervision and upscale potential exceptions.
• Assist with regulatory exams, inquiries, and internal reviews.
• Support regulatory filings and disclosures, including ADV season deliverables and sub-adviser ADV distribution.
• Maintain regulatory calendars, 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.
• 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

Organizational skills

Communication

Time management

Team collaboration

Attention to detail

Education

Bachelor's degree or equivalent

Tools

Microsoft Excel

Microsoft PowerPoint

Job description

SEI Corporation is seeking a Compliance Associate to support Asset Management Compliance across SIMC and SIDCO. You will monitor, test, and assist with regulatory filings, while maintaining calendars, records, and governance documentation.

The role offers exposure to investment adviser and broker-dealer compliance and opportunities to contribute to process improvements with AI-driven workflows. The ideal candidate has a Bachelor's degree or equivalent, relevant internship or experience, and