SEI has an immediate opening for a highly-motivated, results-oriented Marketing Compliance Analyst to be member of the SEI Legal, Compliance, Corporate Development & Risk Team (LCCDR). This position is in SEI’s headquarters located in Oaks, PA but can also be a remote position.
The Marketing Compliance Analyst will be responsible for the review of marketing materials for SEI’s internal business units and its external clients. The position provides the individual with a comprehensive understanding of SEI’s business lines, SEC and FINRA regulation and exposure to a broad array of issues within the LCCDR Team that impact SEI and its clients. The Marketing Compliance Analyst will be a subject matter expert in the issues that affect clients’ investment products and solutions.
As a Marketing Compliance Analyst, you will also be expected to stay abreast of changes to the regulations affecting investment advisors, registered and unregistered products and work with the business units and clients to educate them on changes as they occur. This position will include interaction with various SEI business partners and external SEI clients.
Core Expectations:
Perform task-based work as well as undertake and execute on longer-term, project-based work.
Work with a team of others that have similar functions to discharge a group role or function.
Collaborate well with market unit teams, while ensuring that decision making stays within the appropriate levels of risk appetites.
Create sound and reliable work product that can be shared with clients directly.
Demonstrate judgement but regular supervision and instruction is required for execution of overall task.
Be a reliable transmitter of information, i.e. a good understanding of what issues need to be reported “up the chain” as opposed to those that you should be able to resolve on your own.
Demonstrate a basic understanding of business and operating environment.
Have a fundamental understanding of specialized discipline.
Be dedicated to developing expertise in your subject matter.
What you'll do:
Reviewing marketing communications for clients, such as advertising, sales support materials, client communications, websites and social media.
Staying abreast of changes to laws and regulations affecting the management, operations, and product offering of SEI and its clients
Coordinating with legal counsel and business unit to ensure adherence to laws and regulations relating to new or revised products and service offerings
Liaise with FINRA regarding the review of filed marketing materials
Coordinating issues and projects with other teams
Participating in client and business unit initiatives and projects
Keeping abreast of industry standards and knowledge to be able to communicate with both internal and external clients
Interacting effectively with clients and other SEI teams
Provide support to clients in various time zones
What you bring to the table:
BA/BS degree
A minimum of 3-5 years marketing review experience
Series 7 and 24 registrations required
Proficient knowledge of financial services industry; knowledge of applicable rules, regulations and federal and state securities laws (SEC and FINRA) a plus.
Self-starter with excellent organizational and time management skills
Exceptional interpersonal skills and ability to collaborate and problem-solve among the team and with clients.
Minimal travel (<20%) may be required, including periodic visits to SEI headquarters (if working remotely).
Attributes we value:
Hardworking
Smart
Effective
Solution-Oriented
Team Player
High Integrity/Ethics
Good Communicator/Listener
Sound Judgment
Dedicated to Self-Improvement
Self-Aware
Open-Minded
Thoughtful
While the above characteristics are prerequisites for all members of the SEI LCCDR department, employees who consistently demonstrate the following behaviors are able to distinguish themselves and will be recognized and rewarded, including by receiving opportunities for professional growth and career progression:
Passionate
Innovative
Impactful
A Team Builder
Adaptive
Inspirational
A Strategic Thinker
Self-Starting
The base salary pay for this role is $100,000 - $120,000 per year.
This position will also be eligible to earn a discretionary bonus each year, subject to company approval.
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 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.
AI Acceptable Use in the application and interview process:
SEI acknowledges the growing integration of artificial intelligence (AI) tools into individuals’ personal and professional lives. If you intend to incorporate the use of any AI tools at any stage of the application and/or interview process, please ensure you have reviewed and adhere to our AI use guidelines.
Top Skills
What We Do
SEI® (NASDAQ:SEIC) delivers technology and investment solutions that connect the financial services industry. With capabilities across investment processing, operations, and asset management, SEI works with corporations, financial institutions and professionals, and ultra-high-net-worth families to solve problems, manage change and help protect assets—for growth today and in the future. As of June 30, 2021, SEI manages, advises or administers approximately $1.3 trillion in assets. For more information, visit seic.com.
