Broker Dealer Analyst
About the role
The Middle Office Team supports Registered Investment Advisors (RIAs), Banks, Money Managers and the SEI Wealth Network by providing exceptional administrative services to high-net-worth clients. This position is responsible for providing account management to clients within the Advisors Network through extensive daily support and interaction.
Responsibilities
- Heavy interaction with internal and external clients, as well as teammates, on the telephone/Microsoft Teams, email and in person in a professional and accurate manner.
- Review, analyze, and enter client information and transactions into multiple systems in order to fulfill non-monetary and monetary requests for high-net-worth client accounts.
- Cook up the Broker Dealer Change Process.
- Educate the client as well as fellow Sales and Service employees and assist them in implementing the best possible practices to more effectively use Middle Office products and services to meet their business needs.
- Interpret monetary requests to determine the correct course of action. This requires an understanding of the high net worth client’s goals and objectives as well an understanding of SEI’s guidelines and procedures.
- Identify Advisor related processing issues to ensure accurate completion of the submitted request and provide value added servicing.
- Develop a deep understanding of the current compliance related rules that govern the Financial Services Industry including financial advisor registration status confirmed with the SEC. This requires individual research.
- Develop an understanding of SPTC compliance standards related to Broker Dealer Operations paperwork, accounts changing SPTC program agreements, and the proper signature requirements for the various transactions the team processes.
- Participate in team projects to improve the current processes and/or systems.
- Maintain the highest level of confidentiality, quality and privacy.
Requirements
Undergraduate degree and/or equivalent work experience required. Preference in: Accounting, Finance or Business related field.
Knowledge of Microsoft Office products including Word, Excel, and Outlook.
Qualifications
Knowledge of financial and/or investment services
Strong dedication to quality customer service
Must be a team player with an ability to work independently with minimal supervision
Excellent verbal and written communication skills
Exceptional interpersonal skills
Ability to handle multiple tasks
Able to work under pressure
Excellent analytical and problem solving skills
Able to work effectively and productively with others
Effectively coordinate, perform and complete multiple duties and assignments concurrently and in a timely manner
Able to prioritize in a high volume environment
Excellent organizational skills and attention to detail
Must be a team player with an ability to work independently with minimal supervision
Minimum 2 years related work experience preferred
Knowledge of Excel and Word for Windows
Skills
Knowledge of financial and/or investment services
Strong dedication to quality customer service
Must be a team player with an ability to work independently with minimal supervision
Excellent verbal and written communication skills
Exceptional interpersonal skills
Ability to handle multiple tasks
Able to work under pressure
Excellent analytical and problem solving skills
Able to work effectively and productively with others
Effectively coordinate, perform and complete multiple duties and assignments concurrently and in a timely manner
Able to prioritize in a high volume environment
Excellent organizational skills and attention to detail
Must be a team player with an ability to work independently with minimal supervision
Minimum 2 years related work experience preferred
Knowledge of Excel and Word for Windows
Benefits
Comprehensive care for your physical and mental well-being
Strong retirement plan
Tuition reimbursement
Support for working parents
Paid parental leave
Paid volunteer days
Discounted stock purchase plan
Access to thriving employee networks
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan
Investment options
Flexible Paid Time Off (PTO)
Up to 11 paid holidays/year
401(k) match
Education assistance
Commuter benefits
Back-up childcare arrangements
Access to thriving employee networks
Employee networks
Stock purchase plan