Broker Dealer Analyst

142 SEI Custodial Operations Co; Oaks (PA); On-site; USD 42,000 - 62,000; Full time

Benefits offered by this job

Healthcare benefits

Life & disability insurance

401(k) match

Education assistance

Commuter benefits

Paid holidays & PTO

Parental leave

Back-up childcare

Volunteer days

Employee networks

Job summary

SEI is seeking an entry-level Middle Office Operations Analyst in Oaks, PA to provide account and operational management for high-net-worth clients within the Advisor and Wealth channels. You will work with Sales and Service teams and coordinate broker-dealer changes while learning SEI Funds, products, and procedures.

This role focuses on high-quality service, confidentiality, and collaboration with internal teams to support advisor networks and private trust activities.

Qualifications

• Undergraduate degree or equivalent work experience.
• Proficiency in Microsoft Office (Word, Excel, Outlook).
• Knowledge of Excel and Word for Windows.
• Strong communication and interpersonal skills; ability to handle multiple tasks.

Responsibilities

• Interact with clients and teammates by phone, email, Teams in a professional manner.
• Enter and review client information and transactions across systems for high-net-worth accounts.
• Coordinate broker-dealer changes and communicate processes.
• Educate clients and colleagues on best practices to use Middle Office services.
• Research compliance rules affecting advisor registrations and transaction signatures.
• Support team projects to improve processes and systems.

Skills

Microsoft Office

Excel

Written & verbal communication

Team player

Customer service

Education

Undergraduate degree

Tools

Microsoft Teams

Broker Dealer Change Process

Job description

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.

This is an entry level position, where full training and support will be provided.

What you’ll do:

• 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.

What you bring to the table:

• 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.
• Attributes we value: 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.
• 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/

For this position, SEI is not hiring individuals who require sponsorship for employment or continued employment now or anytime in the future.

Benefits:

• 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, 16 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 offer our employees paid parental leave, back-up childcare arrangements, paid volunteer days, education assistance and access to thriving employee networks.

We are a technology and asset management company delivering on our promise of building brave futures (SM)—for our clients, our communities, and ourselves.

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.

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 / affirmative action 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.

We are global provider of technology, operations, and asset management services for the financial services industry. We tailor our solutions to help clients make effective use of their capital—whether that’s money, time, or talent—so they can grow and better serve their clients.

At SEI, we’re committed to fostering an inclusive workplace where everyone has the same opportunities to grow, develop, and succeed.