Compliance Officer, SEI Retail Transfer Agency

SEI•Upper Providence Township, PA

11d

About The Position

We are seeking an experienced compliance professional to support the oversight, administration, and ongoing enhancement of the compliance programs governing STARS, SEI’s retail transfer agency business, and the firm’s AML, sanctions, and financial crimes compliance functions. The role will partner closely with business, operations, technology, legal, and compliance stakeholders to develop, implement, monitor, and enhance policies, procedures, controls, and governance processes designed to promote compliance with applicable federal securities laws, transfer agent regulations, Bank Secrecy Act requirements, OFAC sanctions requirements, and other financial crime obligations. The position will play a key role in regulatory change management, compliance monitoring and testing, risk assessments, sanctions screening oversight, issue remediation, board and management reporting, and the continued maturation of the firm’s transfer agent and AML compliance frameworks.

Requirements

Understanding of global financial services, including transfer agent, AML, sanctions, and financial crimes compliance obligations.
Critical thinking and high-quality written/presentational skills.
Ability to manage and plan for multiple deadlines across competing priorities.
Experience supporting registered transfer agent activities, mutual funds, broker-dealers, banks, trust companies, investment advisers, or other regulated financial institutions.
Familiarity with SEC transfer agent regulations, the Investment Company Act of 1940, Bank Secrecy Act requirements, OFAC sanctions programs, and anti-financial crime frameworks.
Experience with sanctions screening processes, including OFAC list screening, alert review and escalation, false-positive dispositioning, blocked/rejected transaction analysis, and sanctions-related documentation.
Ability to translate regulatory requirements into practical operational controls, procedures, testing scripts, risk assessment content, and management reporting.
Experience conducting compliance monitoring, testing, risk assessments, issue tracking, and remediation validation.
AML compliance or related financial crimes experience or comparable experience at a law firm, regulatory agency, financial institution, major consulting firm, or in law enforcement.
Strong judgment in escalating sensitive financial crimes, sanctions, fraud, suspicious activity, identity theft, and elder financial exploitation matters.

Nice To Haves

Certifications such as ACAMS, CFE, or CAFP are preferred, but equivalent experience will also be considered.

Responsibilities

Assist in the development, maintenance, and enhancement of transfer agent compliance policies, procedures, internal controls, and governance processes.
Monitor regulatory developments, assess their impact on transfer agent, AML, sanctions, fraud, identity theft, and related financial crimes compliance obligations, and provide practical guidance to business, operations, technology, legal, and compliance stakeholders.
Support and help oversee the transfer agent’s AML and sanctions compliance framework, including policies and procedures, risk assessments, sanctions screening controls, alert escalation, issue remediation, and management reporting.
Review, document, and support the disposition and resolution of escalated sanctions screening alerts, including the assessment of potential sanctions matches, implementation of appropriate blocking or rejection actions, and consultation with Legal, AML, operations, technology, and senior compliance stakeholders, as required.
Conduct or support periodic compliance monitoring, testing, and quality assurance reviews of transfer agent, AML, and sanctions screening activities, including identification of control deficiencies and tracking of findings, issues, and remediation efforts.
Support enterprise and subsidiary AML compliance programs, including policy governance, risk assessments, monitoring activities, regulatory change implementation, financial crimes investigations, and ongoing control enhancements.
Assist with investigations involving suspicious activity, sanctions compliance, fraud, identity theft, elder financial exploitation, and other financial crime matters.
Assist in preparing compliance reporting, metrics, risk assessments, issue updates, and other materials for management, committees, boards, auditors, regulators, clients, and other oversight stakeholders.
Support regulatory examinations, internal audits, independent AML reviews, client due diligence requests, and other inquiries involving transfer agent, AML, sanctions, fraud, identity theft, and related compliance matters.
Provide compliance guidance and training to business, operations, technology, and client-facing teams regarding transfer agent, AML, sanctions, fraud, identity theft, and related financial crimes requirements.