Risk Management and Operational Control Specialist

3 weeks ago


Fair Oaks, California, United States SEI Full time

About the Role

The Investment Manager Services (IMS) Division at SEI is seeking an experienced professional to join our Operations Integrity and Quality Control Team. As a key member of this team, you will be responsible for supporting our Traditional business unit and assisting its Operation teams with process development and improvement, internal controls, and policy and procedure documentation.

Key Responsibilities

  • Develop and execute audit plans to test the operating effectiveness of internal controls and the accuracy of financial records.
  • Assist in the development of policy and procedure documentation to address new rules and regulations impacting the Operations teams.
  • Liaise with key members of the Operations teams to evaluate and identify opportunities to mitigate operational risks.
  • Assist in executing initiatives and projects aligned to operational risks and Operations Management Teams.
  • Ensure readiness for SOC1 reporting and other regulatory/client reporting programs.
  • Participate in skills training and development of staff, conduct performance appraisals, and provide career pathing and training.

Requirements

  • BS/BA degree in business, accounting, finance, or related field, or equivalent in education and work experience.
  • Minimum 5 years of fund accounting or operations experience, auditing, risk management, or compliance experience within the wealth and asset management space.
  • Minimum of 3 years supervisory experience.
  • Demonstrate knowledge of mutual funds, CITs, ETFs, and/or other regulated products and structures, along with applicable laws, rules, and standards from regulatory bodies.
  • Demonstrate a strong understanding of risks and controls to independently develop audit programs.
  • Proficient with various data analytic, transformation, and visualization tools.

About SEI

SEI is a leading global provider of investment processing, investment management, and investment operations solutions. We offer a wide range of benefits, including comprehensive care for physical and mental well-being, a strong retirement plan, tuition reimbursement, a hybrid working environment, support for working parents, and flexible Paid Time Off (PTO). We are committed to building brave futures for our clients, communities, and ourselves.

Our Values

At SEI, we embody the values of courage, integrity, collaboration, inclusion, connection, and fun. We strive to create a workplace that is inclusive, supportive, and empowering for all employees. If you share our values and are passionate about delivering exceptional results, we encourage you to apply for this exciting opportunity.



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