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