SIEL MLRO & Financial Crime Compliance Officer

Responsibilities

" (ORs):
• Responsibility for the production and delivery of SIEL's AMLpliance Program, including reporting suspicions of money laundering

MLRO:

Be responsible in establishing the basis on which a risk-based approach to the prevention of money laundering/terrorist financing is put into practice by Senior Management (the AML Program")

Be responsible for the coordination, monitoring and upkeep of the AML Program, which is the foundation for SIEL's AML systems and controls

Perform regular assessments of the adequacy of all AML systems and controls and oversee the implementation of appropriate enhancements designed to ensure continuouspliance with applicable laws and regulations

Provide Senior Management with appropriate information regarding the operation and effectiveness of those systems and controls (at least annually)

Provide staff training (including requirements for suspicious activity monitoring and escalation)

With Senior Management, take appropriate measures to ensure that money laundering risk is taken into account in the day-to-day operation of the firm, including in relation to: the development of new products; the taking-on of new customers; and changes in the firm's business profile. Review and investigate AML related suspicious activities; and

Where required, provide external reporting to the National Crime Agency (NCA") (AML related suspicious activity notices), the FCA (preparation and submission of the Annual Financial Crime Report) and HM Treasury (Financial Sanction notifications via the Office of Financial Sanctions Implementation OFSI")

Be aware of any new AML and Financial Crime regulations, rules and/or guidance that may impact SIEL and ensure the business are aware of the impact of such regulations, rules and or guidance and lead the business in implementation of the said requirements.

Financial Crime:

Work with and support the Chiefpliance Officer to help the department in its general objective to ensure that the SIELernance and internal control structures are effective for the Firm as a whole, such that SIEL ispliant at all times with all applicable rules and regulations

Maintain a strong understanding of the Firm's business model and strategy

Provide financial crimepliance subject matter expertise and other support as required for SIEL's UK business

Develop key financial crimepliance risk assessments, policies and procedures (the Financial Crime Program")

Produce and effectivelymunicate (verbally and/or in writing, as appropriate)pliance advice which is of high-quality,prehensive and thoroughly-considered from all relevant angles, in a timely manner, assisting the SIELpliance department to achieve its overall objective of supporting the business (incl. where relevant SIEL's international offices) achieve its objectives in apliant manner

Keep up to date with developments in Financial Crime regulation and industry best practice, and implementing and/or rmending changes where necessary

Representpliance (or Chair, if and as appropriate) in appropriate Firm Financial Crimemittees and/or Working Groups

Identify and track new and updated requirements relating to Financial Crime, engaging collaboratively with the business in developing, implementing and monitoring new procedures

Identify training needs; delivering Financial Crime training to SIEL employees; and,

Work collaboratively with the otherpliance functions in the group to implement standardised policy and procedure, where appropriate.

Leadership &ernance

Maintain and develop firm, industry and regulatory knowledge - (market conditions, regulation, SEI products and services, financial crime etc) both in general and specifically for areas of technical expertise and maintain ongoing and effectivemunication and alignment of these with regulatory requirements and developments as well as market and client business practices.

Regularly provide training to relevant stakeholders on the AML and Financial Crime Program

Any other ad-hoc projects as required.

Risk Management & Culture

In your role, you are responsible for the identification, assessment and control of risks and risk events. Your responsibilities include:

Maintaining a good understanding of applicable policies, procedures, risk appetites and tolerances

To consider current and potential risks when making or informing business decisions

The accurate and timely escalation and recording of incidents associated to relevant risks

Performing regular assessments of your risks and controls

Ensuring all required Risk Management training ispleted

What we need from you:

Market Knowledge:

Demonstrates the appropriate level of awareness and understanding of the market in which SIEL operates

Strongpliance experience (including some monitoring experience)

Significant experience of financial crime and AML (and the relevant legislation and regulation)

Broad knowledge of financial markets and major product areas

Business Strategy & Business Model:

Demonstrates the appropriate level of awareness and understanding of SIEL'S business strategy and business model appropriate to the proposed role

Has an appropriate level of understanding of the firm's business, its products, services and client base as well as key markets

Experience of international group organisations and working within a matrix organisation

Ability to lead businesses and manage multi-disciplinary teams

Experience of working in a platform service provider or with an outsourced financial services relationship

Risk Management & Control:

Demonstrates an awareness and understanding of the main internal and external risks facing SIEL

Financial Analysis & Control:

Demonstrates the ability to understand and interpret the financial information specific to your business area

Strong understanding of UK corporateernance standards

Upholds high standards of integrity and probity, supporting the directors in instilling the appropriate effectiveness, values and behaviours within SIEL

Demonstrable capability to analyse (and document)plex business processes

Regulatory Framework & Requirements:

Demonstrates an awareness and understanding of the regulatory framework in which SIEL operates

What we would like from you:

Demonstrates an ongoing fitness, propriety and expertise to discharge responsibilities. Has maintainedpetence, relevant qualifications and knowledge to acceptable levels

Intellectual capability and analysis - ability to undertakeprehensive assessments and provide clear feedback and reporting

Capable and effectivemunicator

Strong interpersonal skills

Ability to work independently with limited supervision

Ability to work well under pressure and meet deadlines without deterioration of quality of work.

Strong team work ethic andmitment to department successfully meeting its objectives

Ability to manage individuals

Ability to influence senior stakeholders

Enthusiasm

Strongpliance experience (including some monitoring experience).

Significant experience of financial crime and AML (and the relevant legislation and regulation).

Broad knowledge of financial markets and major product areas

SEI'spetitive advantage:

To help you stay energised, engaged and inspired, we offer a wide range of benefits includingprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about.

We are a technology and asset managementpany delivering on our promise of building brave futures ( SM) -for our clients, ourmunities, and 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 City of 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 valuable asset 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 medical care 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).
Job ID R0029439