Brokerage Operations Specialist at SEI Investments in Pennsylvania

Brokerage Operations Specialist Location: USA - PA - Oaks 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. Responsibilities for the Trading Specialist include: New Accounts - Opening / entering, processing, due-diligence/research, maintenance and closing of inactive accounts as well as maintenance in the SIDCO client profile system Existing Accounts – 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 What we need from you: The successful candidate would demonstrate: 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 Series 7 and 63 preferred, or ability to pass exams within 6 months of employment 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, a hybrid working environment for most roles, 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, 21 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. 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 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.