Archive for March, 2013
Equities Valuation Controller
This role is part of a four person team and is responsible, largely for the US region, for the following:Support business growthPerforming the monthly Independent Price Verification (‘IPV’) processes for both the firm’s structured derivative and vanilla equity products.Enable team to undertake more in-depth analysis on our core product portfolios, including establishing link between IPV, PL attribution and risk.Enhance Governance around IPV, including assisting in writing up procedural / guideline documents, identifying best practices and sharing these globally. Interact with other regional Read more […]
Counsel – Regulatory Practice & Policy
FINRA is seeking a well-qualified individual for our Counsel opening in Washington, DC. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please. Job Summary: Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. This is senior-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance. Essential Read more […]
Financial Operations Examiner – Member Regulation, ROOR
Conducts on-site examinations and assesses Floor member and member organization’s financial and operational condition and compliance with securities rules and regulations. Essential Job Functions: Examine and analyze financial, operational and sales practice compliance of Floor members and member organizations.Reviews trading floor activities of member firms to ensure compliance with SRO and SEC rules and regulations.Examines members and member organization books and records to verify that their activities are in compliance with applicable rules and regulations.Reviews member firms financial Read more […]
Fixed Income Specialist
Develop, implement, monitor and manage national programs focusing on Fixed Income and related FINRA regulatory matters. Represent FINRA in contacts with external regulatory agencies and internal FINRA departments. This is a mid-level individual contributor that provides extensive support to the Director of Fixed Income Regulation and senior management on a variety of high-priority, complex projects. Essential Job Functions:Develops and delivers fixed income regulatory policy guidance for the benefit of examiners and member firms, including matters of common interest between Member Regulation Read more […]
Rates/OTC Derivatives Sales – Top Institutional Accounts
This opportunity is for someone who has been his firm’s star producer and is looking for a new opportunity or a new challenge. The company is looking for candidates who have demonstrated success as a sales person with a major bulge bracket firm or bank and currently cover the senior traders and decision makers for Credit Derivatives, Interest Rate Swaps and associated cash fixed income products. The firm is offering top compensation for the right person. Keywords: Fixed Income Sales, West Coast, Credit Derivatives, Rates, Credit, MBS, Top Producer Refer to Job#19892-EFC and email MS Word attached Read more […]
Business Development Manager
Business Development Manager – Sydney Based Funds ManagerBoutique Funds Manager ETF Equities – Retail Focus Flexible Working Location – Salary + Trailing Commissions + IncentivesI am looking for either an experienced or very eager and tenacious business development professional who would like to market the funds of this Sydney based boutique funds manager.The fund is on the verge of large growth, but requires two business development managers to bring new clients and funds into the business. The focus will be on both retail investors and larger financial planning or dealer groups, ideally based Read more […]
Associate Capital Markets Research
About KeyCleveland-based KeyCorp is one of the nation’s largest bank-based financial services companies, with assets of approximately $97 billion. Key companies provide investment management, retail and commercial banking, consumer finance, and investment banking products and services to individuals and companies throughout the United States and, for certain businesses, internationally. The company’s businesses deliver their products and services through branches and offices; a network of 1,439 ATMs; telephone banking centers 1-800-KEY2YOU® (1-800-539-2968); and a website, Key.com®, that provides Read more […]
FI Generalist Sales Associate
We are currentlyy looking for a driven Sales Associate for our LA or San Fran office. They will be selling our FI products including , cds,em,hg,us and a host of others. PLease call for more……
Sales- Derivatives
A leader of derivatives data, technology and valuation services for the financial markets is looking for someone with 3-5 years of sales experience in NYC. Requirements: – 3+ years sales of financial services data, solutions, risk services or analytics – OTC Derivatives knowledge – Proven ability to meet sales quotas
Exchange Traded Derivatives
The role is responsible for providing assistance in oversight of regulatory topics, offering pro-active advice of regulatory change and its application to Exchange Traded Derivatives activity, with the goal to address and mitigate issues and risks. Deep knowledge and understanding of US Exchange Traded Derivatives (ETD)– Financial futures and optionsMargin with PC SPAN, customer statement review, reconciliationsSystem set up, specifically statistic dataReporting including but not restricted to LTR, PCS, GCMIdentify key control gaps to ensure controls are maintained and operational risk Read more […]