Brokerage Operations Specialist

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. Responsibilities 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 Qualifications Strong verbal and written communication 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 a related field or equivalent work experience Minimum of 3 years' experience in broker/dealer operations or compliance Minimum of 1 year trading experience a plus Series 7 and 63 preferred, or ability to pass exams within 6 months of employment Benefits 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. 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. #J-18808-Ljbffr SEI