Compliance Officer, SEI Retail Transfer Agency

Compliance Program SupportIn this role you support the oversight, administration, and enhancement of SEI's compliance programs for transfer agent operations and financial crime controls. You will partner with business, operations, technology, legal, and compliance teams to implement policies, procedures, and governance aligned to federal securities laws, transfer agent rules, and AML/OFAC requirements. You'll drive regulatory change management, monitoring, risk assessments, and issue remediation to mature the firm's compliance framework. The position offers meaningful impact on governance, reporting to management and boards, and cross-functional collaboration in a regulated, client-focused environment.Compensation / BenefitsHealthcare (medical, dental, vision)401(k) matchEducation assistancePaid holidaysPTOParental leaveResponsibilitiesDevelop, maintain, and enhance transfer agent compliance policies, procedures, and internal controlsMonitor regulatory developments and translate impact into practical guidance for stakeholdersOversee AML and sanctions compliance framework, including risk assessments, screening controls, and management reportingReview escalated sanctions screening alerts and coordinate with Legal and senior stakeholdersConduct or support periodic compliance monitoring, testing, and QA reviews across transfer agent, AML, and sanctions activitiesSupport enterprise AML programs, policy governance, regulatory change, investigations, and control enhancementsAssist investigations involving suspicious activity, sanctions, fraud, identity theft, and elder exploitationPrepare compliance reporting and materials for management, committees, boards, auditors, and regulatorsSupport regulatory examinations, internal audits, and client due diligence requestsProvide compliance training to business, operations, technology, and client-facing teams on transfer agent and financial crime requirementsKey requirementsUnderstanding of global financial services and transfer agent, AML, sanctions, and financial crime obligationsCritical thinking and strong written/presentational skillsAbility to manage multiple deadlines across prioritiesExperience with registered transfer agent activities or related regulated financial institutionsFamiliarity with SEC transfer agent regulations, the Investment Company Act of 1940, BSA, OFAC, and anti-financial crime frameworksExperience with sanctions screening processes, alert review, escalation, and documentationAbility to translate regulatory requirements into operational controls, procedures, testing scripts, and reportingExperience with compliance monitoring, testing, risk assessments, issue tracking, and remediation validationAML compliance or related financial crime experience; BC/industry experience acceptableAccountableAnalyticalCollaborativeSanctions screening (OFAC list screening, escalation, false positives)Regulatory change managementCompliance monitoring and testing