Risk Analyst, Liquidity Risk Management Program

SEI•Upper Providence Township, PA

2d•Onsite

About The Position

The Series Trust Risk and Liquidity Risk Management Program Coordinator plays a key role in supporting the Liquidity Risk Management Programs (“LRMP”) under Rule 22e-4 of the Investment Company Act of 1940 for numerous open-end investment companies and exchange traded funds across multiple series trusts. This role will primarily be responsible for the oversight of liquidity risk policies and procedures at the series trust level. In addition, the role will participate in the coordination of regulatory reporting, governance, and operational risk processes across the series trust.

Requirements

B.S./B.A. in financial related field
8 + years experience in financial industry, alternatives experience a plus
Strong understanding of compliance program management, including risk assessment, policy implementation, monitoring/testing, and regulatory reporting within a financial services environment
Ability to interpret and apply laws, rules, regulations, and internal policies to business practices, with sound judgment in identifying, escalating, and helping resolve compliance risks
Experience developing, maintaining, and enhancing compliance policies, procedures, controls, and documentation to support regulatory obligations and audit readiness
Demonstrated ability to partner with business, legal, risk, audit, operations, and senior stakeholders to provide practical compliance guidance and support effective governance
Strong written and verbal communication skills, with the ability to prepare clear reporting, communicate regulatory developments, and present compliance matters to committees, boards, clients, or other stakeholders as needed
Participate in at least one relevant industry association
Work independently, take ownership, and manage multiple concurrent projects
Apply strong problem-solving, organizational, and detail-oriented skills
Remain flexible, positive, and effective under pressure
Demonstrate excellent interpersonal and customer service skills

Nice To Haves

alternatives experience a plus

Responsibilities

Coordinate Liquidity Risk Management Programs for open-end mutual fund and exchange traded fund series trusts; review policies and procedures of funds to ensure that they are reasonably designed to incorporate the elements specified by Rule 22e-4 and include any additional elements deemed necessary to effectively assess and manage the liquidity risk of funds within the series trusts.
Prepare and deliver written reports to Boards of Trustees assessing the operation, adequacy and effectiveness of numerous fund LRMPs, including the operation of the highly liquid investment minimum under the Program, and any material changes to the Program.
Regularly conduct independent research to develop and maintain a broad understanding of current/future macro and micro market conditions. Develop and maintain an understanding of market fundamentals and conditions that impact liquidity, pricing and valuations.
Assist in the development and updating of processes and procedures that incorporate the required level of controls and conduct ongoing monitoring and review of client liquidity classifications.
Assist with client and prospect inquiries regarding the unit’s liquidity program management and related solutions (e.g., Forms NPORT & NCEN), serving as a subject matter expert in client/prospect meetings as well as participating in industry events (including speaking on and/or moderating panels).
Coordinate across multiple functional teams to identify opportunities to improve risk-based processes while maintaining strong controls, documentation, and audit readiness.
Contribute to ongoing regulatory rules and regulations impacting the series trust directly or indirectly from a trust level perspective.