SEI Investments

Senior Director, Technology Compliance & Regulatory Engagement

SEI Investments • $160K — $200K *
Oaks, PA 19456In-Person
Information Technology
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • 5-7 years of experience in technology risk and compliance leadership roles
  • Deep understanding of FFIEC guidance and global technology regulatory standards
  • Proven track record in managing regulatory examinations with accountability for outcomes
  • Strong knowledge of technology risk, cybersecurity, and IT controls
  • Excellent communication skills with the ability to simplify complex topics for diverse audiences
  • Strategic mindset with a focus on solution-oriented approaches
  • Demonstrated ability to manage multiple initiatives effectively

Responsibilities

  • Serve as the primary contact for FFIEC examinations and technology-related subsidiary audits
  • Lead end-to-end exam management, including scoping and examiner communications
  • Oversee technology risk assessments and drive remediation strategies
  • Collaborate with stakeholders to establish technology compliance policies and governance
  • Provide executive-level reporting on risk posture and regulatory implications
  • Partner with senior leaders to identify emerging risks and design mitigation strategies
  • Translate complex technical environments into clear regulatory narratives

Benefits

  • Comprehensive healthcare coverage including medical, dental, and vision
  • 401(k) match and strong retirement plan
  • Tuition reimbursement and education assistance
  • Flexible Paid Time Off (PTO) and up to 11 paid holidays per year
  • Paid parental leave and back-up childcare arrangements
  • Paid volunteer days and commuter benefits
  • Access to employee networks and discounted stock purchase plan
Full Job Description
SEI is seeking a Senior Director to lead Technology Regulatory Compliance across the enterprise. This role will report directly to the Global Chief Compliance Officer and serves as the accountable executive for technology risk and compliance matters, including related regulatory engagement, most notably with the FFIEC, and provides global oversight of IT risk, compliance, and technology-focused audits.

This executive will act as a trusted advisor to senior leadership, regulators, and boards, ensuring the policies, procedures and controls related to SEI's technology development, deployment and environment meet applicable regulatory expectations and are clearly understood, well-positioned, and defensible in regulatory examinations. A core expectation of this role is the ability to shape, package, and communicate SEI's technology risk story in alignment with regulatory expectations in multiple jurisdictions, while supporting modernization and innovation initiatives, including the use and deployment of artificial intelligence internally and externally.

What You Will Do:

Regulatory & Examination Leadership
• Serve as the primary point of contact and owner for FFIEC examinations.
• Provide oversight of any technology-related subsidiary examinations.
• Lead end-to-end exam management, including exam scoping, response strategy, evidence orchestration, examiner communications, and issue resolution.
• Frame and present SEI's technology risk, control environment, and maturity in a manner that aligns to examiner focus areas and supervisory priorities, not just individual controls.
• Interpret applicable technology, cybersecurity, and data-related regulatory requirements and provide clear, regulator-ready SEI positions and messaging to the applicable regulator.

Technology Risk & Compliance Oversight
• Oversee technology risk assessments, identifying control gaps, compliance risks, and emerging vulnerabilities.
• Drive remediation strategies and ensure outcomes are sustainable, auditable, and defensible under regulatory scrutiny.
• Collaborate with the relevant internal stakeholders to establish and evolve technology compliance policies, standards, controls and governance aligned to meet applicable regulatory expectations.
• Support internal and external technology audits and second-line risk assessments, ensuring consistency of messaging across exams, audits, and management reporting.
• Provide concise, executive-level reporting to senior management and boards that clearly articulates risk posture, trends, and regulatory implications.

Strategic Advisory & Governance
• Partner with senior leaders across Technology, Risk, Legal, and Compliance as a strategic advisor on regulatory expectations, supervisory risk themes, as well as horizon scanning for potential emerging risks and working with the relevant internal stakeholders to design appropriate mitigation strategies.
• Guide the responsible integration of data, analytics, automation, and AI within compliance and risk operations, ensuring that regulatory expectations are met and solutions remain regulator-ready and explainable.

Leadership & Collaboration
• Lead cross-functional efforts across Technology, Operations, Information Security, Audit, and Compliance to ensure that the policies, procedures and controls meet regulatory expectations and deliver coordinated, exam-ready outcomes.
• Translate complex technical environments into clear, cohesive regulatory narratives, supported by appropriate evidence and documentation.
• Build and maintain strong, credible relationships with regulators, auditors, and internal stakeholders at all levels.

What we need from you:
• Strategic, solution-oriented mindset with sound judgment and high integrity
• Executive presence with the ability to simplify complex technical and regulatory topics for senior leaders and regulators
• Decisive, credible communicator and active listener, able to influence outcomes at the executive and regulatory level
• Collaborative leader committed to continuous improvement and strong cross-functional partnership
• Deep understanding of technology risk, cybersecurity, and IT controls (applications, infrastructure, cloud, data, access management)
• Strong working knowledge of FFIEC guidance and global technology regulatory standards, including how regulators assess risk and maturity
• Proven experience leading regulatory examinations with direct accountability for exam outcomes and regulatory positioning-not just coordination
• Demonstrated ability to manage multiple, concurrent initiatives while maintaining clarity, consistency, and regulatory credibility

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

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, 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.

The position title reflected in this job description is aligned with SEI's current internal job architecture. As part of SEI's role and career framework, internal job titles may not directly correspond to external market titles and may differ from titles previously assigned during an employee's tenure or at the time of hire.

About SEI Investments

SEI Investments is a financial services company that provides investment processing, investment management, and investment operations solutions to institutional and personal wealth management clients. The company was founded in 1968 and is headquartered in Oaks, Pennsylvania. SEI Investments has a global presence with offices in North America, Europe, and Asia. The company's investment management solutions include mutual funds, exchange-traded funds (ETFs), and separately managed accounts. SEI Investments also provides technology solutions to financial institutions, including wealth management platforms and outsourcing services.
Learn more about SEI Investments
Size
4,371 employees
Market Cap
$7.8 billion
Industry
Net Income
$447.2 million
Founded
1968
5 Year Trend
+6.5%
Revenue
$1.6 billion
NASDAQ

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