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Trading and Sales Middle Office Specialist
4 weeks ago
The Trading and Sales Middle Office Specialist is primarily responsible for providing operational support and exceptional customer service to the bank’s affiliated broker dealer and registered investment advisor.
Responsibilities:
- Middle Office Liaison for the front office between Pershing, counterparties, and internal departments on all pertaining matters.
- Assist with daily and monthly reconciliations for the Trust department.
- Performs a variety of operational tasks for the AMTI TSMO area, including processing updates to client accounts and interpreting and handling exceptions as well as resolving escalated and/or complex problems in client accounts.
- Process asset movement requests inside of their pre-established SLA times within a quality-controlled process environment.
- Process securities transfer in a timely manner following industry best practices. Transfers can include but are not limited to incoming/outgoing ACAT, delivery/receive of securities free of payment which include DTC, Government, Mutual Fund, International transfers, DRS and/or DWAC transfers.
- Provide superior customer service to the Wealth Management business units we serve.
- Ensure strict confidentiality of client, firm, and employee information.
- Process document bank storage.
Minimum Education and/or Certifications Requirements:
- Bachelor’s degree in economics, finance, business administration or engineering required.
- FINRA SIE preferred
- FINRA Series 99 preferred
Minimum Work Experience Requirements:
1-3 years of relevant experience processing back and middle office requests coming from Wealth Management and Broker Dealers
Technical and/or Other Essential Knowledge:
- Basic investments and securities knowledge.
- Previous experience with MS Office Skills, including MS Word, MS Excel, MS PowerPoint
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