Fund Compliance - Deputy CCO

The SEI Fund Compliance Team (the "Team") is responsible for overseeing the compliance programs of the service providers to the SEI proprietary mutual funds and third party mutual funds administered under the series trust known as The Advisers' Inner Circle Trust, collectively, (the "'40 Act Complex"). The '40 Act Complex is comprised of over $250 billion in assets, including over 250 mutual funds with varying investment strategies across equity and fixed income products in both domestic and international mandates. There are over 140 third party advisors and sub-advisors who manage the investments of these products. In addition to overseeing the compliance programs of the advisors and sub-advisors to the '40 Act Complex the Team oversees the compliance programs of multiple service providers to the '40 Act Complexes including transfer agents, fund administrators, distributors, etc.. In order to continue our expansion and increase the breadth of our compliance oversight, SEI has an immediate opening for a highly motivated, results-oriented, Deputy CCO to be located in Oaks, Pa. This position would report to the Chief Compliance Officer on the Team.

What you will do:

In general this position will work closely with other Team members to perform compliance oversight and due diligence activities. This position will participate in the performance of compliance due diligence processes with respect to the compliance programs of the current and any future investment advisors and sub-advisors to the '40 Act Complex. The position will also be responsible for performing the required annual and quarterly assessments of the compliance programs of the '40 Act Complex and the relevant '40 Act service providers.

Many of the activities of the Team are reported to the Boards of Trustees of the mutual fund complexes on a quarterly basis. Results of due diligence and monitoring activities are provided to the Boards as warranted. The members of the Team work collaboratively to ensure that all compliance matters are identified and rectified timely and in the best interest of shareholders. This Team also serves as the primary liaison with the SEC with respect to compliance matters relating to the mutual fund complexes in the U.S. and may assist the broader Legal and Compliance group in responding to regulatory inquiries outside of the U.S.

This individual will work with Team members to stay abreast of changes to laws and regulations affecting the funds in the U.S.; coordinate with legal counsel and service providers to ensure adherence to laws and regulations; oversee the revision, preparation, and dissemination of new and updated compliance policies and procedures; and prepare compliance reports as warranted.

SEI and its investment advisor clients continue to build new and innovative investment products using mutual fund or related investment platforms. Some of the service providers to these mutual funds are global in scale and reach. This position will require travel, once it is safe again to do so, for approximately 10-12 days each year primarily in the U.S. to visit with and conduct due diligence on investment advisory firms or other service providers to the funds. Many of these firms are well known world class organizations, which will expose the compliance director to industry best practices from some of the brightest and the best in the investment management business.

The position will include significant interaction with the various SEI business units and business partners, including the Investment Management Unit, the SEI Private Trust Company, the SEI Funds Administrator, Legal, and other SEI competency units in the design, development and implementation of SEI's and its clients' investment products.

Responsibilities/Key Initiatives:

• Ongoing compliance oversight of the Investment Complex advisors and sub-advisors and the service providers to the SEI proprietary funds and AIC funds.
• Identification of new or emerging compliance issues and implementation of processes to address these issues efficiently
• Act as liaison with numerous functional groups in the design, development and implementation of compliance procedures across the mutual fund complexes.
• Preparation of compliance board materials, due diligence materials, questionnaires, presentations etc.
• Review of compliance due diligence materials
• Assist market units in considering the compliance issues that may impact the development of new or innovative investment products
• Identification of efficiencies and compliance monitoring leveraging opportunities
• Ability to travel (post Covid) in order to conduct on site due diligence visits of the advisors, sub-advisors and service providers described above.

What we need from you:

A minimum of 12 to 15 years of experience in the investment management industry with some combination of responsibilities working in the following areas or with the following subject matter is desired:

• Investment Company Act of 1940 or Investment Advisors Act of 1940
• Fund accounting / operations
• Mutual fund auditing
• Internal audit, portfolio trading or portfolio management.

Any of the following experience would also be a plus:

• Experience working with or for the Securities Exchange Commission ("SEC") or Financial Industry Regulatory Authority ("FINRA"). Experience with alternative investment products, ETFs or derivatives
• Familiarity with using or implementing investment management systems such as EzCastle, Sentinel, Charles River, Bloomberg, Blackrock's Aladdin, etc.
• Experience working with cybersecurity programs or vendors
• Experience as an investment management compliance consultant

The successful candidate will demonstrate the following:

• Excellent project management and organizational skills
• Self-Starter with excellent time management skills
• Capable of multi-tasking and prioritizing in a fast-paced environment to meet deadlines
• Strong written and oral communication skills
• Exceptional interpersonal and leadership skills

If your experience looks a little different from what we've identified, but you think you could make a valuable contribution to our organization, we would like to learn more about you.

What we would like from you:

• Hardworking
• Smart
• Effective
• Solution-Oriented
• Team Player
• High Integrity/Ethics
• Good Communicator/Listener
• Sound Judgement
• Dedicated to Self-Improvement
• Self-Aware
• Open-Minded
• Thoughtful
• Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. Please see our website for more information.

SEI's competitive advantage:

To help you stay energized, engaged and inspired, we offer a wide range of benefits including a comprehensive care for your physical and mental well-being, strong retirement plan, tuition reimbursement, hybrid working environment, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.

We are a technology and asset management company delivering on our promise of building brave futures^SM-for our clients, our communities, and ourselves. Come build your brave future at SEI.

SEI is an Equal Opportunity Employer and so much more...

After over 50 years in business, SEI remains a leading global provider of investment processing, investment management, and investment operations solutions. Reflecting our experience within financial services and financial technology our Oaks, PA office encompasses an open floor plan and numerous art installations designed to encourage innovation and creativity in our workforce. We recognize that our people are our most valuable asset and that a healthy, happy, and motivated workforce is key to our continued growth. At SEI, we're (literally) invested in your success. We offer our employees paid parental leave, back-up childcare arrangements, paid volunteer days, education assistance and access to thriving employee networks.

SEI is an equal opportunity / affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability status, protected veteran status, or any other characteristic protected by law.

Physical Demands and Work Environment

While performing the duties of this job, the work environment may require an individual to move around the office and from building to building which may expose the individual to weather conditions outside. The individual has to be able to sit or be stationary at a computer and use computers for extended periods of time and occasionally lift and/or move up to 20 pounds. The noise level in the environment is moderate and the individual must be able to communicate and exchange information with people in person and over the telephone and email.

Please be aware that SEC Rule 206(4)-5 "Political Contributions by Certain Investment Advisers" (the "Rule") may place certain restrictions on certain subsidiaries of SEI as a result of your past and future political contributions. Therefore, an offer for this position may be contingent on you providing SEI, a completed questionnaire regarding political contributions made by you and members of your household, and that SEI may reject your application if SEI determines in its sole discretion that the effect of such political contributions under the Rule could have an adverse impact on SEI's current or prospective business activities and strategies. Any misrepresentation of or omission of any contributions from this information request, will be cause for your rejection or dismissal from employment.