Middle Office Analyst

3 weeks ago


Doral, United States Pacifica Continental Full time

Our Client is an important international investment Advisor Company looking for a Middle Office Analyst.

The Middle Office Analyst will play an important role in supporting the Head of the Broker Dealer and Head of Wealth Management at the group's US operations. The analyst will play a key role in supporting the operations of the Broker-Dealer and the registered Investment Advisers.

FunctionsClient account opening (focus on Pershing NETx360)Rebalancing / Order transmission/ execution (OMS)Transfers in/ outFee calculationClient records update and maintenanceClient reporting and statementsInteraction with the custodiansInteraction with advisors and clientsAdvise on international trades trading and settlementsAssist the CCO in daily Compliance tasks and functions such as:

Review account opening documentationReview marketing materials for adherence to regulationLoad and maintain client data into DD systemActivity surveillance: Review and explain exception reports

Perform periodic GAP analysis, policy vs. processGive support in the update of internal policies and procedures,Stay current on regulatory changes and proactively identify how these may affect the CompanyRequirements

2+ years of experience in a financial services firm, with an interest in operations / Middle Office mattersBilingual (English/Spanish) required. Portuguese a plusFINRA SIE or S7 license a plusAbility to understand policies and proceduresGeneral knowledge of compliance concepts

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