Brokerage Operations Specialist

SEI•Upper Providence Township, PA

20h•Hybrid

About The Position

SEI Investments Distribution Company (“SIDCO”), a broker-dealer subsidiary of SEI, operates services and supports two lines of business within SEI: institutional equity trading and Exchange Traded Funds (ETF) creation and redemption. SIDCO is seeking a Trading Specialist who will play a key role in the operations of the unit. The qualified individual will be responsible for daily activities in support of the business lines within SIDCO. This role involves significant client and relationship building activities. The qualified individual will have a broad understanding of financial markets and brokerage operations.

Requirements

Strong verbal and written communications skills
Demonstrated organizational and administrative skills
High attention to detail skills
Work well under pressure
High sense of urgency particularly as it relates to new client account creation and management
Demonstrated ability to create, document and execute processes
Demonstrated ability to manage projects to completion
BS/BA in related field or the equivalent in work experience
A minimum of 3 years’ experience in broker/dealer operations or compliance
A minimum of 1 year trading experience a plus

Nice To Haves

Series 7 and 63 preferred, or ability to pass exams within 6 months of employment

Responsibilities

Opening / entering, processing, due-diligence/research, maintenance and closing of inactive accounts as well as maintenance in the SIDCO client profile system
Entering, processing, agreement/document management and maintenance in the SIDCO client profile system
Maintain and keep updated the hardcopy files for institutional clients
Coordinate, process, and maintain all Exchange Traded Fund (“ETF”) Authorized Participant (“AP”) Agreements for Sponsors
Review and update the Consolidated Audit Trail (“CAT”) procedures
Maintain the SEI ETF Order Taking Platform
Work with ETF Issuers and Authorized Participants
Review ETF phone-in orders
On-call for ETF support after hours operation
Order taking via the phone for Institutional and ETF clients
Handle settlement issues via phone and email
Monthly, quarterly and annual screening, reporting, reconciliation, audits, risk-assessments and self-assessments
Review and update the Business Continuity Plan
Responsible for compliance with SIDCO’s Anti-Money Laundering Program
A variety of additional miscellaneous administrative duties via phone and email requests
Back up the SIDCO Contact Center with answering ETF investor service calls