Compliance Officer

About the role

SEI’s Legal, Compliance and Risk team is seeking a Compliance Officer to support the day-to-day execution of compliance activities for registered investment companies, including mutual funds, interval/closed end funds, and ETFs. This role focuses on regulatory filings, board reporting, adviser oversight, and compliance monitoring in support of ’40 Act requirements. The position emphasizes data analytics, technology, and AI-enabled compliance processes, leveraging data-driven insights and automation to enhance effectiveness, scalability, and accuracy.

Responsibilities

• Support recurring compliance activities, including monitoring tasks, documentation updates, workflow tracking, deadline management, and regulatory calendar activities.
• Assist with regulatory filings, compliance reports, questionnaires, certifications, and related supporting documentation.
• Compile and organize board and committee materials, including supporting exhibits and documentation for 15(c), Rule 38a-1, and related governance processes.
• Use data and technology tools to identify inconsistencies, missing information, process gaps, and potential risk indicators, escalating issues to senior team members as appropriate.
• Develop and maintain dashboards, trackers, and reporting tools using Excel, Power BI, or similar platforms to improve visibility into compliance activities.
• Support AI-enabled tools, structured data practices, and automation to streamline document review, data extraction, workflow management, and compliance recordkeeping.
• Partner with senior team members to identify opportunities to enhance compliance workflows, improve efficiency, and strengthen process consistency.
• Assist the Global Due Diligence Team in gathering, organizing, and maintaining adviser and sub-adviser due diligence materials, compliance documentation, certifications, and related records.
• Maintain compliance records, trackers, and centralized documentation to support accuracy, data integrity, audit readiness, and timely responses to exams, audits, and internal information requests.

Requirements

• Bachelor’s degree from an accredited college or university, or equivalent work experience.
• Internship or experience in financial services, asset management, compliance, data analytics, registered funds, regulatory reporting, or governance processes.
• Strong analytical, organizational, and communication skills, with the ability to manage multiple priorities and deliver accurate work product in a regulated environment.
• Careful attention to detail.
• Excellent oral and written communication skills.
• Strong technological capabilities, with skills in Microsoft Office product suite (Excel and PowerPoint in particular). Experience with, or interest in, AI tools, automation, or technology-enabled workflow optimization.

Preferred Qualities

• Objective, balanced, and decisive.
• Thorough, organized, and accurate.
• Self-aware and conscientious.
• Logical and analytical.
• Independent self-starter.
• Articulate and effective communicator.
• Intellectual curiosity.
• Commitment to professional development.
• Team player who embodies SEI’s values of courage, integrity, collaboration, inclusion, connection, and fun.

Benefits

• Comprehensive 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 per year.
• 21 days PTO per year (pro-rated for new hires, increasing over time).
• Paid parental leave.
• Back-up childcare arrangements.
• Paid volunteer days.
• Discounted stock purchase plan and investment options.
• Access to thriving employee networks.