Senior Compliance Officer - AML, Sanctions & Transfer Agent

SEI Corporation; Northern (KY); Hybrid; USD 110,000 - 150,000; Full time

Benefits offered by this job

Health insurance

401(k) match

Education assistance

Paid time off

Job summary

SEI Corporation seeks an experienced compliance professional to oversee and enhance the firm's transfer agent, AML, sanctions, and financial crime compliance programs. You will partner with business, operations, technology, and legal teams to develop, implement, and monitor policies, procedures, controls, and governance aligned with federal securities laws and BSA/OFAC obligations.

You will play a key role in regulatory change management, monitoring, risk assessments, sanctions screening

Qualifications

• Certifications such as ACAMS, CFE, or CAFP are preferred.
• Understanding of global financial services including AML, sanctions and financial crimes compliance obligations.
• Experience with sanctions screening processes, alert review/escalation, and remediation.

Responsibilities

• Assist in developing, maintaining, and enhancing transfer agent compliance policies, procedures, controls and governance.
• Monitor regulatory developments and interpret their impact on AML, sanctions, fraud and related obligations.
• Support AML and sanctions compliance framework, including risk assessments, screening controls, and reporting.
• Review escalated sanctions screening alerts and coordinate with Legal, AML, operations and senior compliance stakeholders.
• Conduct ongoing compliance monitoring, testing, and issue tracking to identify control deficiencies and remediation needs.

Skills

ACAMS

CFE

CAFP

Job description

SEI Corporation seeks an experienced compliance professional to oversee and enhance the firm's transfer agent, AML, sanctions, and financial crime compliance programs. You will partner with business, operations, technology, and legal teams to develop, implement, and monitor policies, procedures, controls, and governance aligned with federal securities laws and BSA/OFAC obligations.

You will play a key role in regulatory change management, monitoring, risk assessments, sanctions screening