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- 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
- 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
Middle Office Analyst - Miami, 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. The analyst will play a key role in supporting the operations of the Broker-Dealer and the registered Investment Advisers.
Functions