Supervisor, Anti-Money Laundering

4 weeks ago

Thousand Oaks, California, United States SEI1GLOBAL Full time

The Investment Manager Services Division (IMS) at SEI is growing rapidly and is seeking new members on our Foreign Account Tax Compliance Act (FATCA) team. Our primary goal is to provide exceptional customer service and administration servicing for our clients' assigned hedge and private equity funds.

What you will do:

  • As the Supervisor, you will be responsible for assisting in the review of AML documentation at the time of onboarding and refresh to ensure it meets regulatory requirements based upon the AML regime.
  • Act as the first elevation points for AML team, outsourcing partners and Investor Services operation teams on Anti-Money Laundering (AML) questions.
  • Assist with providing solutions by giving input on AML matters elevated to Investor Services Deputy Money Laundering Officers (DMLRO).
  • Act as an escalation point for teams when investors and affiliates hit against watchlists during the screening process.
  • Research potential hits occurring during the screening process to determine if they are "false positives" or actual hits. Resolve "false positives" or direct teams on next steps for true hits.
  • Determine questions that required escalation to SEI's AML Compliance team and work with them on resolution
  • Manage AML Certification request process. Review and approve AML Certification Requests.
  • Manage monthly Suspicious Activity Request (SAR) process and tracking.
  • Determine when Enhanced Diligence forms are required and work with operation teams to complete.
  • Track Politically Exposed Persons (PEP).
  • Track investors in High Risk Jurisdictions (HRJ).
  • Participate in any AML Audits (internal or external).
  • Run monthly watch list screening of all Investor and Affiliate databases.
  • Assist with training staff and outsourcing partners on AML topics and updates.
  • Assist with designing and updating AML training material.
  • Participate in quarterly due diligence meetings with SEI's AML Compliance team.
  • Participate in client calls as needed.
  • Train and supervise staff. You will assist the manager with conducting performance appraisals, monthly one-on-ones with the team analysts and provide career pathing and training. You will also ensure staffing requirements are met by participating in analyst interviews. You will collaborate with the manager to provide and foster a team environment to include individual development, promotions and disciplinary action.
  • We want you to succeed and look for future solutions Through attending and participating in various IMS and corporate professional development sessions, you will acquire the tools to identify processes across the division and organization. You will have the opportunity to collaborate with a diverse team and grow your career.

What we need from you:

  • BA / BS in Business, Accounting, Finance, Economics, Mathematics or equivalent professional experience.
  • Minimum 2 years of AML experience preferred.
  • Transfer agency or investor services experience preferred
  • Ability to appropriately escalate exceptions requiring additional resource knowledge or special consideration.
  • Ability to work under tight deadlines with limited supervision.
  • The self-motivation, organization and drive to complete multiple client deliverables in a timely manner without sacrificing excellence or quality.
  • Strong written and verbal communication skills as you will primarily support your clients through email and/or phone calls.
  • Strong customer service skills as you will be communicating daily with internal and external stakeholders. .

What we would like from you:

  • A drive to broaden one's knowledge of the financial services industry by learning new concepts and systems and taking the initiative to apply it to daily work assignments.
  • Attention-to-detail to ensure that all deliverables consistently meet the highest standard of quality and accuracy
  • Collaboration with internal and external stakeholders. As the needs of our clients change, we need to be flexible to change with them.
  • Positivity and collegial approach in assisting both colleagues and clients and the ability to work in team environment.
  • Curiosity, critical thinking and attention to detail: Whether it's to identify a solution to a problem or possibly help implement a more efficient process or procedure, your skills have a place in our business.
  • 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 comprehensive care for your physical and mental well-being, a strong retirement plan, tuition reimbursement, a hybrid working environment for most roles, support for working parents and flexible Paid Time Off (PTO) so you can relax, recharge and be there for the people you care about.

Benefits include healthcare (medical, dental, vision, prescription, wellness, EAP, FSA), life and disability insurance (premiums paid for base coverage), 401(k) match, education assistance, commuter benefits, up to 11 paid holidays/year, 21 days PTO/year pro-rated for new hires which increases over time, paid parental leave, back-up childcare arrangements, paid volunteer days, a discounted stock purchase plan, investment options, access to thriving employee networks and more.

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 offices encompass 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.

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