Senior Director AML & IS (EMEA)

SEI Investments is a leading global provider of asset management and investment technology solutions.  The company’s innovative solutions help corporations, financial institutions, financial advisors, and affluent families create and manage wealth. SEI is a people focused organization which encourages and recognizes employee development as being a critical component in the provision of excellent client service. An open, collaborative and detail oriented environment underpins this business objective.

Position Description:

This Senior Position is within the Alternatives unit of SEI and has responsibility for the Investor Services & AML Operations functions in Dublin & Luxembourg. Reporting to the EMEA Head of investor Services & AML, this individual will be responsible for interacting with all levels of professionals both internally and externally.  Candidates must have a proven track record in leadership and strategy and be able to demonstrate expertise and client-facing skills in both AML operational and product knowledge and Transfer Agency processing in Private Market /Alternative structures.

This role is designated as a Controlled Function (CF2) under the Central Bank of Ireland’s Fitness and Probity Regime. Appointment to the role is subject to the Central Bank of Ireland’s Fitness and Probity requirements.

What you’ll do:

• Support SEI and its subsidiaries responsible for Investor Servicing and AML services, including Client AML, overseeing the implementation, running and effectiveness.

• Collaborate with SEI Compliance and other stakeholders on the interpretation of Money Laundering, OFAC and additional regulations applicable to the different AML regimes serviced by the administrator.

• Collaborate with other SEI Business Units on the application of Investor Services best practice, ensuring adherence to the control framework resulting in high quality output to maintain client and investor satisfaction

• Lead and/or participate in regulatory examinations with applicable regulatory bodies and internal control functions.

• Drive succession planning, resource & performance management, development and training of team members on AML rules and regulations and Investor Services best practices applicable to SEI and the administrator,

• Develop, track, and report on key metrics and business drivers, ensuring that tasks and deliverables are completed in a timely manner.

• Support engagement and a proactive approach to dealing with Clients and Investors, ensuring teams maintain the appropriate knowledge and subject matter expertise to provide a superior client service.

• Respond to and reporting of incidents triggering regulatory, headline and organizational risk, including reporting to the Board of Directors of SEI entities subject to AML & Investor Services obligations.

• Interfacing with persons responsible for performing independent, periodic testing of the AML, OFAC and Investor Services policies and procedures to ensure compliance.

• Evolve and support the oversight function in oversight of their delegates, including ensuring the oversight framework remains fit for purpose.

• Liaison with corporate resource for AML and OFAC regulations (and comparable overseas AML requirements) in connection with product and solutions development and client support.

• Assist in the risk-based analysis of request for exceptions by clients and documentation of resolution.

• Communicate with and provide applicable training/support to SEI client service teams.

• Review and approve drafts of internal and external documents including service agreement, and contracts.

• Review and approve cost models for prospects and existing client fund launches. 

• Support New Business Development by providing assistance with RFP’s, RFI’s, prospect calls, visits, and presentations,

• Serve as an escalation point for staff and relationship teams.

• Champion HR policies and ensure all are applied and maintained.

• Carry out all duties assigned to your role under the Company’s Safety Statement, to ensure Health, Safety and Well-being for all employees for whom you have responsibility.

What you bring to the table:

• 10+ years’ experience of leading/managing large IS and AML teams.

• 15+ years plus financial services background, preferably with Alternatives - Hedge / PE Fund experience.

• Strong knowledge of compliance and regulation within the Financial Services Industry in Europe.

• In-depth knowledge of Irish, Luxembourg and/or Cayman Anti-Money Laundering requirements.

• Very strong risk awareness

• Experience of dealing with Clients and Customers, with excellent oral and written communication skills

• A proven track record in project management and implementation

• Good presentation skills, with strong attention to detail;

• Ability to achieve consistently high levels of accuracy and timeliness, and adherence to company procedures.

• Excellent interpersonal skills and an ability to build relationships

• Ability to take initiative and ownership for assigned responsibilities.

• An innovative and positive ‘can do’ attitude with excellent problem solving skills;

• Flexible, Adaptable.

• Ability to multi-task, prioritize work and manage own time and time of others to maximize efficiency and to meet strict deadlines;

• In depth knowledge of the Microsoft suite of tools

Benefits you can expect:

Healthcare for yourself, your spouse and any dependents up to the age of 18 years. Pension Scheme. Tax Saver Travel Benefits. Bike to Work Scheme. On-site Gym with Fitness Classes and 1:1 PT Sessions. Club Supplement. Education Assistance. Competitive Family & Annual Leave Entitlements as well as 2 Paid Volunteer Days per year. Life Assurance. Annual Employee Share Participation Scheme.

We are focused on ensuring a healthy work-life balance and offer a hybrid working model and flexible working hours. This role is based in the office a minimum of 3 days per week and will involve occasional travel.

SEI is an Equal Opportunity Employer and so much more…