Compliance Officer

SEI; Oaks (PA); On-site; USD 95,000 - 160,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Education assistance

Paid time off

Parental leave

Back-up childcare

Volunteer days

Stock purchase plan

Job summary

SEI is seeking a Compliance Officer to support ongoing regulatory activities for registered investment funds with a strong emphasis on data analytics, AI-enabled processes, and automation. You will help with filings, governance materials, and risk identification using dashboards and reports.

Under supervision of senior team members, you will contribute to efficient compliance workflows, document reviews, and due diligence support while maintaining audit-ready records in a regulated environment.

Qualifications

• Bachelor’s degree or equivalent work experience in a relevant field.
• Experience in financial services, asset management, compliance or regulatory reporting is preferred.
• Strong analytical, organizational and communication skills for a regulated environment.
• Careful attention to detail and accuracy in all work products.
• Excellent oral and written communication skills, with ability to convey complex data clearly.
• Proficiency with the Microsoft Office suite, especially Excel and PowerPoint; interest in AI tools and automation.

Responsibilities

• Compliance Operations and regulatory support including monitoring tasks and calendar activities.
• Assist with regulatory filings, reports, questionnaires and related documentation.
• Prepare board materials and governance exhibits for 15(c), Rule 38a-1 and related processes.
• Identify risks using data and technology, escalate as needed.
• Develop dashboards and reports using Excel/Power BI to improve visibility.
• Support AI-enabled tools and structured data practices for automation.
• Collaborate to improve workflows and process consistency.
• Assist Global Due Diligence with adviser materials and related records.
• Maintain compliant records and support audit readiness.

Skills

Data analytics

Regulatory reporting

Excel

Power BI

AI tools

Communication

Attention to detail

Education

Bachelor's degree in a related field

Tools

Microsoft Office

Job description

SEI’s Legal, Compliance and Risk team has an immediate opening for a Compliance Officer. The Compliance Officer will support the day-to-day execution of compliance activities for registered investment companies, including mutual funds, interval/closed end funds and ETFs. This role focuses on regulatory filings, board reporting, adviser oversight, and compliance monitoring in support of ’40 Act requirements.

The position has a strong emphasis on data analytics, technology, and AI-enabled compliance processes, leveraging data-driven insights and automation to enhance the effectiveness, scalability, and accuracy of compliance operations. Working under the guidance of senior compliance professionals, the role is responsible for delivering high-quality work in a highly regulated and increasingly technology-driven environment.

What You Will Do

• Compliance Operations and Regulatory Support: Support recurring compliance activities, including monitoring tasks, documentation updates, workflow tracking, deadline management, and regulatory calendar activities.
• Regulatory Filings and Reporting: Assist with regulatory filings, compliance reports, questionnaires, certifications, and related supporting documentation.
• Board and Governance Materials: Compile and organize board and committee materials, including supporting exhibits and documentation for 15(c), Rule 38a-1, and related governance processes.
• Risk Identification and Escalation: Use data and technology tools to identify inconsistencies, missing information, process gaps, and potential risk indicators, escalating issues to senior team members as appropriate.
• Dashboards and Reporting Tools: Develop and maintain dashboards, trackers, and reporting tools using Excel, Power BI, or similar platforms to improve visibility into compliance activities and communicate information clearly.
• AI, Automation, and Structured Data: Support AI-enabled tools, structured data practices, and automation to streamline document review, data extraction, workflow management, and compliance recordkeeping.
• Process Improvement: Partner with senior team members to identify opportunities to enhance compliance workflows, improve efficiency, and strengthen process consistency.
• Due Diligence Support: Assist the Global Due Diligence Team in gathering, organizing, and maintaining adviser and sub-adviser due diligence materials, compliance documentation, certifications, and related records.
• Records Management and Audit Readiness: Maintain compliance records, trackers, and centralized documentation to support accuracy, data integrity, audit readiness, and timely responses to exams, audits, and internal information requests.

What We Need From You

• Bachelor’s degree from an accredited college or university, or equivalent work experience
• Internship or experience in financial services, asset management, compliance, data analytics, registered funds, regulatory reporting, or governance processes
• Strong analytical, organizational, and communication skills, with the ability to manage multiple priorities and deliver accurate work product in a regulated environment
• 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). Experience with, or interest in, AI tools, automation, or technology-enabled workflow optimization

What We Would Like From You

• Objective, Balanced and Decisive
• Thorough, organized, accurate
• Self-aware and Conscientious
• Logical and Analytical
• Independent Self Starter
• 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/

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.

Benefits

• 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.