Senior Compliance Officer - Funds & AI Analytics

SEI; United States; Remote; USD 90,000 - 150,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Tuition reimbursement

Paid parental leave

Flexible PTO

Job summary

SEI's Legal, Compliance and Risk team seeks a Compliance Officer to support daily activities for registered investment funds, including mutual funds, interval/closed end funds and ETFs. The role emphasizes regulatory filings, board reporting, adviser oversight, and 40 Act compliance in a data-driven, AI-enabled environment.

You will develop dashboards and automate workflows using Excel and Power BI, collaborating with senior staff to enhance efficiency and accuracy across compliance operations.

Qualifications

• Bachelor's degree or equivalent work experience in a related field.
• Experience in financial services, asset management, compliance, data analytics, or regulatory reporting is preferred.
• Strong analytical, organizational, and communication skills in a regulated environment.

Responsibilities

• Support recurring compliance activities, monitoring tasks, documentation updates, and regulatory calendar management.
• Assist with regulatory filings, compliance reports, questionnaires, and related documentation.
• Compile and organize board materials and governance exhibits for 15(c) and Rule 38a-1 processes.
• Use data and technology to identify gaps and escalate issues to senior staff.
• Develop dashboards and trackers using Excel, Power BI, or similar tools.

Skills

Analytical thinking

Regulatory compliance knowledge

Data analytics

Attention to detail

Communication skills

AI tools interest

Education

Bachelor's degree

Tools

Excel

PowerPoint

Job description

SEI's Legal, Compliance and Risk team seeks a Compliance Officer to support daily activities for registered investment funds, including mutual funds, interval/closed end funds and ETFs. The role emphasizes regulatory filings, board reporting, adviser oversight, and 40 Act compliance in a data-driven, AI-enabled environment.

You will develop dashboards and automate workflows using Excel and Power BI, collaborating with senior staff to enhance efficiency and accuracy across compliance operations.