Private Equity Capital Raising Branch Manager
We are looking to fill a position for a Private Equity Capital Raising / Branch Manager in our broker dealer’s new Los Angeles branch office.
The employee will report to the CCO. The primary focus will be to provide sales and compliance oversight of registered representatives staff in our Los Angeles office and assist the Compliance Department with ongoing regulatory requirements with special focus on private equity sales.
In the role the employee will be responsible for the following:
• Hiring, training, motivating and supervising team of registered representatives
• Maintaining a compliance presence and provide oversight and guidance to registered representatives branch office
• Assisting the Compliance Department with monitoring the sales of private equity
• Assisting with enforcing compliance policies
• Escalate matters to the CCO and GC as necessary
Education/Experience Qualifications
• Experience supervising the sale of private placements / private equity
• Experience in medical private equity is preferred but not required
• 3 years minimum compliance, legal experience or supervisory experience with an investment adviser or broker-dealer
• Require series 24, 7, and 63 licenses
• Bachelors Degree required
• Strong organizational and research skills
• Ability to work independently and excel in a high intensity environment
• High standard of professionalism in all dealings with internal staff and any external partners, clients and regulatory agencies
• Strong written and verbal communication skills
• Outstanding attention to detail
Compensation
· Salary commission overrides, and health benefits compensation commensurate with work experience.
Send resume to:
Gary Spitz
gspitz@mfsinvest.com
641-472-7373 Ext 112
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