Manager, Quality Control and Audit Compliance

Sei Investments Company - Oaks, PA

Full-time - Mid Level

Remote - Oaks, PA

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Manager, Quality Control and Audit Compliance at SEI will play a crucial role in supporting the Traditional business unit within the Investment Manager Services (IMS) Division. This position focuses on enhancing operational efficiency through process development, internal controls examination, and compliance with regulations. The manager will collaborate with various teams to identify risks, implement improvements, and ensure readiness for regulatory reporting, all while fostering a culture of continuous improvement and professional development.

Responsibilities

• Work directly with the Traditional business unit to understand its operations and significant processes.
• Assist in developing and executing audit plans to test the operating effectiveness of internal controls, the accuracy of financial records, and compliance with policies and procedures.
• Develop various operations' 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.
• Manage multiple tasks in a time-sensitive delivery schedule and communicate effectively with Operations teams and management.

Requirements

• BS/BA degree in business, accounting, finance or related field, or equivalent 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.
• Strong understanding of risks and controls to independently develop audit programs.
• Proficient with various data analytic, transformation and visualization tools.
• Excellent analytical, problem solving, and organizational skills.
• Ability to analyze issues quickly and independently under tight time constraints.
• Strong written and verbal communication skills.

Nice-to-haves

• A drive to broaden knowledge of the financial services industry.
• Attention to detail to ensure deliverables meet high standards of quality and accuracy.
• Collaboration with internal and external stakeholders.
• Positivity and collegial approach in assisting colleagues and clients.
• Curiosity and critical thinking to identify solutions and implement efficient processes.
• Ability to interact and build effective working relationships with peers and management.

Benefits

• 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
• Discounted stock purchase plan
• Investment options
• Access to thriving employee networks