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Compliance Professional at SEI - ApplyBlast

Compliance Professional

SEI

1 month ago

3.3 on Glassdoor

Oaks, Pennsylvania, United States

Onsite

Full Time

Medior

0 applicants

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About this role

This role supports the oversight, administration, and enhancement of compliance programs for STARS, SEI’s retail transfer agency business, and the firm’s AML, sanctions, and financial crimes functions. The position partners with various stakeholders to develop, implement, and monitor policies and controls ensuring compliance with federal securities laws, transfer agent regulations, and financial crime obligations. Key responsibilities include regulatory change management, compliance monitoring, sanctions screening oversight, and issue remediation.

Responsibilities

Develop and maintain transfer agent compliance policies and procedures
Oversee AML and sanctions compliance frameworks including screening and alert resolution
Conduct compliance monitoring testing and risk assessments to identify control deficiencies

Skills

Qualifications

ACAMSCFECAFP

About SEI

seic.com

Headquarters

Oaks, Pennsylvania, United States

Company Size

1001-5000 employees

Founded

1968

View Profile

SEI is a global provider of technology and investment solutions serving financial institutions, wealth managers, asset managers, corporations and affluent families. The firm offers outsourced investment management and administration, investment processing and operations, and integrated technology platforms for portfolio management, reporting and client servicing. By combining proprietary software, operational outsourcing and investment expertise, SEI helps clients scale, streamline operations, enhance reporting and manage risk and compliance. Clients choose SEI for its customizable, end-to-end solutions and industry experience across global markets.