Broker Dealer Analyst

SEI; Upper Providence Township (PA); On-site; USD 60,000 - 90,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Tuition reimbursement

Paid time off

Parental leave

Back-up childcare

Volunteer days

Stock purchase plan

Employee networks

Job summary

SEI is seeking a detail-oriented Middle Office Operations Analyst to support Registered Investment Advisors, banks and wealth clients. You will handle account management, data entry, and inquiries across multiple SEI systems, collaborating with Sales, Service and Private Trust teams.

You will build knowledge of SEI Funds, investment processes and compliance rules, while delivering high-quality service and confidentiality in a fast-paced environment.

Qualifications

• Undergraduate degree or equivalent work experience.
• Knowledge of Microsoft Office products including Word, Excel and Outlook.

Responsibilities

• Interact with clients via telephone, Teams, email and in person in a professional manner.
• Enter client information and transactions across multiple systems for high-net-worth accounts.
• Coordinate and process Broker Dealer Change requests.
• Educate clients and colleagues to maximize use of Middle Office products and services.
• Interpret monetary requests based on high net worth clients' goals and SEI guidelines.
• Identify processing issues to ensure accurate completion of requests.
• Research current compliance rules governing the Financial Services Industry (SEC registrations).
• Understand SPTC compliance standards for broker dealer operations paperwork and signatures.
• Participate in projects to improve processes and systems.
• Maintain confidentiality, quality and privacy.

Skills

Microsoft Office

Communication skills

Education

Undergraduate degree or equivalent

Tools

Microsoft Word

Microsoft Excel

Microsoft Outlook

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.

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.

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, 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, 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 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.

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.