Account Executive, National Accounts Compliance & Operations
Novus
SEI’s Wealth business is seeking an Account Executive, National Accounts to join our Sales and Client Team, supporting key partners in compliance, operations, and ongoing due diligence within the National Accounts Team.
This role will serve as a critical bridge between SEI’s National Accounts Team and our Broker/Dealer (BD) and RIA distribution partners. You will support enterprise‑level partner relationships through expert management of due diligence workflows, compliance inquiries, and operational coordination—ensuring partners experience the highest standards of accuracy, responsiveness, and regulatory alignment.
You must demonstrate a strong knowledge of SEC and FINRA regulatory frameworks as they apply to BDs, RIAs, and intermediary distribution, as well as expertise in SEI’s capabilities, while maintaining a high degree of accountability and responsiveness in a dynamic sales environment.
This role reports to the Managing Director of the National Accounts Team and is SEI Headquarters based in Oaks, Pennsylvania.
What you will do:
Compliance, Due Diligence & Regulatory Support
Lead all due diligence questionnaires (DDQs), requests for information (RFIs), requests for proposal (RFPs), audits, and partner examinations, ensuring timely, accurate, and compliant responses.
Maintain and update partner‑facing compliance documentation and operational summaries to ensure consistency and regulatory precision.
Track regulatory changes, enforcement trends, and examination priorities, integrating updates into standardized systems, materials, and communications.
Workflow, Documentation & Process Excellence
Track inbound requests, communication workflows, deadlines, and audit cycles with exceptional organization and accuracy.
Collaborate cross‑functionally to optimize processes, streamline documentation, and enhance the partner experience.
Partner Relationship & Operational Coordination
Manage all in‑person and virtual partner due‑diligence meetings, ensuring seamless preparation, delivery, and follow‑up.
Build and strengthen relationships across key internal teams—including Compliance, Sales, Investment Product, Technology, Service, and Operations—to ensure unified, consistent partner support.
Coordinate internal routing, escalation, and resolution of compliance and operational issues across the advisor distribution ecosystem.
What we need from you:
A minimum of 3 years of experience in financial services client support, with direct experience in independent Broker/Dealer or RIA channel strongly preferred.
Bachelor’s degree in Business, Finance, Economics or in a related field, or minimum of 2 years’ SEI experience in lieu of degree.
Strong working knowledge of SEC and FINRA frameworks as they relate to RIAs and broker‑dealers.
Outstanding organizational capabilities, with proven experience managing multiple concurrent requests with precision.
Proficiency with Microsoft 365 Copilot, RocketDocs, and Microsoft Office Suite.
A proactive, self‑directed, and collaborative mindset with ability to think critically and solve problems.
What we would like from you:
Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. Please see our website for more information. https://www.seic.com
Please be aware that SEC Rule 206(4)-5 “Political Contributions by Certain Investment Advisers” (the “Rule”) may place certain restrictions on certain subsidiaries of SEI as a result of your past and future political contributions. Therefore, an offer for this position may be contingent on you providing SEI, a completed questionnaire regarding political contributions made by you and members of your household, and that SEI may reject your application if SEI determines in its sole discretion that the effect of such political contributions under the Rule could have an adverse impact on SEI’s current or prospective business activities and strategies. Any misrepresentation of or omission of any contributions from this information request, will be cause for your rejection or dismissal from employment.
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.