Compliance Officer

021 SEI Investments Company; Oaks (PA); On-site; USD 90,000 - 140,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Education assistance

Paid time off

Parental leave

Job summary

SEI Investments Company is seeking a Compliance Officer to support day-to-day compliance activities for registered investment companies, including mutual funds, interval/closed-end funds, and ETFs. The role emphasizes data analytics, automation, and AI-enabled processes to enhance accuracy and scalability in a regulated environment.

The successful candidate will work under senior compliance professionals to deliver high-quality work and will engage in regulatory filings, board reporting, adviser

Qualifications

• Bachelor's degree or equivalent work experience.
• Experience in financial services, asset management, or governance processes.
• Strong analytical, organizational, and communication skills in a regulated environment.

Responsibilities

• Support compliance operations and regulatory activities, including calendar and documentation management.
• Assist with regulatory filings, reports, questionnaires, and certifications.
• Compile board and governance materials with supporting exhibits and documentation.
• Use data tools to identify gaps and escalate risks to senior staff.
• Develop dashboards and reporting tools (Excel, Power BI) to improve visibility.

Skills

Analytical skills

Organizational skills

Communication skills

Data analytics

AI tools

Education

Bachelor's degree

Tools

Excel

PowerPoint

Power BI

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.

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 include 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 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.

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.

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.

We are a 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-so they can grow and better serve their clients.

At SEI, we're committed to fostering an inclusive workplace where everyone has the same opportunities to grow, develop, and succeed.