Broker Dealer Analyst

SEI•Upper Providence Township, PA

10d•Onsite

About The Position

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. This will involve acquiring a working knowledge of the investment management business, SEI Funds, products and processes necessary to effectively respond to all inquiries from advisors passed through our Sales and Service teams. Individuals must work with the National Broker Dealer Sales staff, Advisor Network Sales Team, and SEI Private Trust Company. Middle Office Operations Analysts are dedicated to providing the absolute highest level of service, back office support, and personal account management to clients within the Advisor and Wealth channels. This position is responsible for providing account and operational management to clients within the Independent Advisor Solutions Network through extensive daily support and interaction. This will involve acquiring a working knowledge of the investment management business, SEI Funds, products and processes necessary to effectively respond to all inquiries from investment advisors. Individuals must work with the Middle Office Service Teams and SEI Private Trust Company to coordinate client investment activities.

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.
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
Ability to work under pressure
Excellent analytical and problem solving skills
Ability to work effectively and productively with others.
Effectively coordinate, perform and complete multiple duties and assignments concurrently and in a timely manner.
Ability 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

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.
Coordinate, communicate and process our 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.