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Compliance Associate

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

This role is a fantastic opportunity to start your Compliance career and we are looking for an enthusiastic, self-motivated, inquisitive team player with effective communication and problem-solving skills. You will be hard working with a desire to contributeto the success of a fast-paced and innovative financial services technology firm in its second line of defense Compliance department. You will be supporting a team of 6 responsible for the core compliance oversight activities and regulatory control frameworkwithin SIELs regulated business. Ongoing training and support with be provided. The SIEL Compliance department creates, develops, implements, monitors and manages the Firms procedures, key controls and policies that seek to ensure that the Firms control, risk and governance structures are adequate. The department liaises with, overseesand monitors business areas to ensure that comprehensive regulatory and risk controls are in place and functioning appropriately. What you will do: Responsibilities include but are not limited to:

  • Process management and oversight of SIELs employees Personal Account Dealing activities, Outside Business Activities, Inducements, and Conflicts of Interest in coordination with the Global Compliance team to ensure policies are followed and reports andguidance are provided as necessary to relevant parties;
  • Assist in the investigation, maintenance and reporting of all Breaches and Complaints reported to SIEL Compliance;
  • Assist with Marketing reviews;
  • Maintain records for new starters, transfers and leavers, including assisting with FCA application for new and existing certified persons;
  • Provide support with Compliance Monitoring plan and assist in the testing;
  • Assist with new business onboarding process;
  • Assist in production of reports for internal governance forums;
  • File management of internal Compliance systems;
  • Any other ad-hoc tasks and responsibilities.
What we need from you:
  • The ideal candidate will have an understanding and interest in developing expertise within regulatory compliance
  • Ability to manage task-based work as well as undertake and execute on longer-term project-based work all while adjusting to changing priorities in a professional manner with regular supervision
  • Microsoft Office skills required (Word, Excel, Outlook)
What we would like from you:
  • Good Communication
  • Attention to detail
  • Good time management skills
  • Team Player
  • Enthusiastic
  • Driven and a self-starter
  • Inquisitive with a desire to learn
  • Problem-solving
  • Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. Please see our website for more information. https://
SEIs competitive advantage: To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enablesyou to relax, recharge and be there for the people you care about. 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. SEI is an Equal Opportunity Employer and so much more... After over 50 years, SEI remains a leading global provider of investment management, investment processing and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the Cityof London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuableasset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits, which include private medicalcare for you and your family, access to GPs online for appointments, enhanced family leave, volunteer days, access to thriving employee networks and not forgetting free fruit. SEI Investments (Europe) Ltd (SIEL) is authorised and regulated by the Financial Conduct Authority (FRN 191713).

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