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Middle Office Analyst - Doral, United States - Pacifica Continental
Description
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.
Functions
Client account opening (focus on Pershing NETx360)
Rebalancing / Order transmission/ execution (OMS)
Transfers in/ out
Fee calculation
Client records update and maintenance
Client reporting and statements
Interaction with the custodians
Interaction with advisors and clients
Advise on international trades trading and settlements
Assist the CCO in daily Compliance tasks and functions such as:
Review account opening documentation
Review marketing materials for adherence to regulation
Load and maintain client data into DD system
Activity surveillance:
Review and explain exception reports
Perform periodic GAP analysis, policy vs. process
Give support in the update of internal policies and procedures,
Stay current on regulatory changes and proactively identify how these may affect the Company
Requirements
2+ years of experience in a financial services firm, with an interest in operations / Middle Office matters
Bilingual (English/Spanish) required. Portuguese a plus
FINRA SIE or S7 license a plus
Ability to understand policies and procedures
General knowledge of compliance concepts
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