Compliance Officer, SEI Retail Transfer Agency

SEI; Oaks (PA); On-site; USD 125,000 - 170,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Tuition reimbursement

Paid time off (PTO)

Job summary

SEI seeks an experienced compliance professional to strengthen the oversight, administration and enhancement of compliance programs for STARS, SEI’s transfer agent and financial crime controls.

The role partners across business, operations, technology, legal and compliance to design, implement and monitor governance processes that align with federal securities laws, transfer agent rules, BSA and OFAC obligations.

Qualifications

• Understanding of global financial services and financial crimes compliance obligations.
• Strong written and verbal communication skills.
• Ability to manage multiple deadlines across competing priorities.
• Experience supporting registered transfer agent activities or other regulated financial institutions.
• Familiarity with SEC transfer agent regs, the Investment Company Act, BSA, OFAC.
• Experience with sanctions screening processes and alert handling.
• Ability to translate regulatory requirements into practical controls and reporting.
• Experience with monitoring, testing, risk assessments, issue tracking and remediation.

Responsibilities

• Assist in developing and maintaining transfer agent compliance policies, procedures, controls and governance.
• Monitor regulatory developments and assess impact on AML, sanctions and related controls; provide guidance.
• Oversee AML and sanctions framework including risk assessments and reporting to management.
• Review escalated sanctions screening alerts and coordinate with Legal, AML, and operations.
• Conduct or support periodic compliance testing and QA reviews of transfer agent and related activities.
• Support enterprise AML programs including policy governance and regulatory change implementation.
• Assist investigations into suspicious activity, sanctions, fraud and elder financial exploitation.
• Prepare compliance reporting, metrics and risk assessments for management and regulators.
• Support examinations, audits and due diligence requests related to transfer agent and AML.

Skills

AML compliance

Sanctions screening

Regulatory reporting

Policy governance

Risk assessment

Interdepartmental collaboration

Tools

RegTech tools

Job description

We are seeking an experienced compliance professional to support the oversight, administration, and ongoing enhancement of the compliance programs governing STARS, SEI’s retail transfer agency business, and the firm’s AML, sanctions, and financial crimes compliance functions. The role will partner closely with business, operations, technology, legal, and compliance stakeholders to develop, implement, monitor, and enhance policies, procedures, controls, and governance processes designed to promote compliance with applicable federal securities laws, transfer agent regulations, Bank Secrecy Act requirements, OFAC sanctions requirements, and other financial crime obligations.

The position will play a key role in regulatory change management, compliance monitoring and testing, risk assessments, sanctions screening oversight, issue remediation, board and management reporting, and the continued maturation of the firm’s transfer agent and AML compliance frameworks.

What you will do:

• Assist in the development, maintenance, and enhancement of transfer agent compliance policies, procedures, internal controls, and governance processes.
• Monitor regulatory developments, assess their impact on transfer agent, AML, sanctions, fraud, identity theft, and related financial crimes compliance obligations, and provide practical guidance to business, operations, technology, legal, and compliance stakeholders.
• Support and help oversee the transfer agent’s AML and sanctions compliance framework, including policies and procedures, risk assessments, sanctions screening controls, alert escalation, issue remediation, and management reporting.
• Review, document, and support the disposition and resolution of escalated sanctions screening alerts, including the assessment of potential sanctions matches, implementation of appropriate blocking or rejection actions, and consultation with Legal, AML, operations, technology, and senior compliance stakeholders, as required.
• Conduct or support periodic compliance monitoring, testing, and quality assurance reviews of transfer agent, AML, and sanctions screening activities, including identification of control deficiencies and tracking of findings, issues, and remediation efforts.
• Support enterprise and subsidiary AML compliance programs, including policy governance, risk assessments, monitoring activities, regulatory change implementation, financial crimes investigations, and ongoing control enhancements.
• Assist with investigations involving suspicious activity, sanctions compliance, fraud, identity theft, elder financial exploitation, and other financial crime matters.
• Assist in preparing compliance reporting, metrics, risk assessments, issue updates, and other materials for management, committees, boards, auditors, regulators, clients, and other oversight stakeholders.
• Support regulatory examinations, internal audits, independent AML reviews, client due diligence requests, and other inquiries involving transfer agent, AML, sanctions, fraud, identity theft, and related compliance matters.
• Provide compliance guidance and training to business, operations, technology, and client-facing teams regarding transfer agent, AML, sanctions, fraud, identity theft, and related financial crimes requirements.

What we need from you:

• Understanding of global financial services, including transfer agent, AML, sanctions, and financial crimes compliance obligations.
• Critical thinking and high-quality written/presentational skills.
• Ability to manage and plan for multiple deadlines across competing priorities.
• Experience supporting registered transfer agent activities, mutual funds, broker-dealers, banks, trust companies, investment advisers, or other regulated financial institutions.
• Familiarity with SEC transfer agent regulations, the Investment Company Act of 1940, Bank Secrecy Act requirements, OFAC sanctions programs, and anti-financial crime frameworks.
• Experience with sanctions screening processes, including OFAC list screening, alert review and escalation, false-positive dispositioning, blocked/rejected transaction analysis, and sanctions-related documentation.
• Ability to translate regulatory requirements into practical operational controls, procedures, testing scripts, risk assessment content, and management reporting.
• Experience conducting compliance monitoring, testing, risk assessments, issue tracking, and remediation validation.
• AML compliance or related financial crimes experience or comparable experience at a law firm, regulatory agency, financial institution, major consulting firm, or in law enforcement.
• Strong judgment in escalating sensitive financial crimes, sanctions, fraud, suspicious activity, identity theft, and elder financial exploitation matters.
• Certifications such as ACAMS, CFE, or CAFP are preferred, but equivalent experience will also be considered.

Attributes we value:

• Accountable
• Analytical
• Practical and results-oriented
• Solution-Oriented
• Collaborative
• High integrity and ethical judgment
• Strong communicator and active listener
• Sound Judgment
• Dedicated to Self-Improvement
• Self-Aware
• Open-Minded
• Thoughtful

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 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.