Compliance Officer, SEI Retail Transfer Agency

SEI; Upper Providence Township (PA); Hybrid; USD 120,000 - 180,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Education assistance

Paid parental leave

Flexible PTO

Back-up childcare

Job summary

SEI seeks an experienced compliance professional to oversee and enhance our AML, sanctions, and transfer agent compliance programs. You will partner with business, operations, technology, legal, and compliance to implement policies, controls, and governance that meet federal securities laws and BSA/OFAC obligations.

The role emphasizes monitoring, testing, risk assessments, escalation, reporting to boards, and ongoing maturation of SEI's compliance frameworks for the transfer agent and financial

Qualifications

• Understanding of global financial services, including AML, sanctions, and financial crimes obligations.
• Ability to translate regulatory requirements into practical controls, testing scripts, and reporting.
• Experience supporting AML, transfer agent, or related regulatory programs.

Responsibilities

• Develop, maintain, and enhance transfer agent, AML, and sanctions compliance policies and controls.
• Monitor regulatory developments and advise stakeholders on impact and actions.
• Oversee AML and sanctions framework, including risk assessments and screening controls.
• Review sanctions screening alerts and coordinate with Legal and Compliance for escalation.
• Conduct or support periodic monitoring, testing, and QA reviews of compliance activities.
• Support enterprise AML programs, policy governance, and regulatory change implementation.
• Assist investigations involving suspicious activity, sanctions, fraud, and elder financial exploitation.
• Prepare management reports, risk assessments, and compliance materials for stakeholders.
• Support regulatory examinations, audits, and client due diligence requests.
• Provide training and guidance to business teams on transfer agent and AML requirements.

Skills

Regulatory knowledge

Analytical thinking

Written communication

Multitasking

Collaborative

Risk assessment

Judgment

Education

ACAMS / CFE / CAFP certification

Tools

Sanctions screening

Regulatory reporting 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.