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Company Title Job Title Company Profile Location Date Posted
Wells Fargo Securities Equity Research Associate - (Shipping, Equipment Leasing, & Marine MLPs)

In this position you will partner with a Senior Analyst covering the Shipping, Equipment Leasing, and Marine MLP sectors. Specific responsibilities include conducting in-depth fundamental research; writing company and industry reports; creating, updating, and maintaining financial models; communicating with clients, internal sales people and senior management. Exposure to institutional investors and covered company/industry corporate executives is an integral part of the position. 

Basic Qualifications 

3+ years’ experience in research supporting the capital markets industry or the financial services industry. 

Minimum Qualifications   

2+ years of research and/or investment banking experience and must have top level Excel and writing skills. Candidates must also possess superior financial statement analysis and modeling skills, the ability to manage multiple tasks simultaneously, a strong work ethic, and the ability to work autonomously as well as in a team environment. Experience with Shipping, Transport, Energy, MLPs, and/or broader Industrial companies a plus. Advanced Skills in Microsoft Word, Excel and Power Point is required. 

Preferred Skills 

Series 7, 63, 86 & 87 strongly preferred. Experience using Factset, CapIQ and Bloomberg, and other data aggregation programs a plus. 

We consist of over 4100 team members in 40+ offices across the US, Europe and Asia focused on US middle market and large corporations, and global institutional investors. Wells Fargo Securities brings together the company's market-leading businesses in debt and equity underwriting, mergers and acquisitions, loan syndication, debt and equity sales and trading, tax-exempt products, research and economics, and hedging products relating to equity, commodities and interest rate risks. Our customer-driven model is focused on delivering capital markets solutions to long standing customer relationships in middle market, large corporate, institutional, commercial real estate, municipal and internal Wells Fargo client segments.

New York, NY 09/10/2014
Mutual Fund Regional Vice President, Wholesale - (Central Region)

Candidates must currently live within the region. Preference will be given to candidates living in the St. Louis, MO and Kansas City, MO metropolitan areas.

Qualifications: SKILLS, KNOWLEDGE AND EXPERIENCE REQUIRED TO PERFORM JOB;

• FINRA Series 6 and 63 required, Series 7 preferred.

• Four year college degree required; MBA preferred (finance, marketing, or economics).

• 3 – 5 years mutual financial sales experience required; external sales strongly preferred.

• Excellent interpersonal, teamwork and relationship building skills.

• Excellent oral and written communication skills.

• Excellent group presentation and financial sales skills.

• Excellent organization skills.

• Must be self-motivated and able to work effectively with minimal supervision.

• Must reside within assigned geographic territory.

• Must have ability to travel overnight approximately 80% of time.

JOB PURPOSE:

The Regional Vice President, Wholesale is responsible for selling the firm’s products and services through a third party distribution network of broker/dealers and other financial intermediaries within assigned geographic region (states of AR, KS, LA, MO, MS, NE, OK, and TN).

ESSENTIAL RESPONSIBILITIES AND JOB RESULTS:

• Works to increase sales within region by developing and maintaining new and existing relationships with third party distributors which include wirehouses, regional broker/dealers, independent financial planners, registered investment advisors, banks and insurance companies.

• Conducts the following programs to develop these relationships and promote the firm’s products: group broker/dealer product and market training sessions, client seminars, broker/dealer conferences and annual meetings, relationship building with sales management at key firms.

• Works in coordination with Regional Marketing Consultant (RMC), providing direction for RMC’s outbound sales call campaigns and strategic territory coverage.

• Maintains high activity level of face-to-face selling which requires four to five days per week in the field.

 

OTHER JOB FUNCTIONS:

• Coordinates joint sales efforts, including new product launches and inclusion in wrap fee programs with focus firms within region.

• Responds to inquiries and resolves problems of a complex nature with key regional representatives and firms.

• Stays current and up-to-date with market, economic and industry trends, as well as competitor products.

• Maintains a detailed level of knowledge of the firm’s products and services.

• Supplies input concerning industry developments and client needs for incorporation into company’s strategic marketing decisions.

• Operates a regional budget by making appropriate allocations to maximize sales opportunities while staying within annual regional expense limit. Submits expense reimbursement reports in a timely manner.

• Prepares an annual regional business plan.

WORKING CONDITIONS:

• Work requires extensive travel and includes evening and weekend hours.

• Requires high activity level of face-to-face selling.

Multi-Billion Dollar AUM Mutual Fund St. Louis, MO 09/10/2014
Mutual Fund Regional Vice President, Wholesale - (North Pacific Region)

External candidates must currently live within the region. Preference will be given to candidates living in the Seattle, WA metropolitan area.

Qualifications: SKILLS, KNOWLEDGE AND EXPERIENCE REQUIRED TO PERFORM JOB;

• FINRA Series 6 and 63 required, Series 7 preferred.

• Four year college degree required; MBA preferred (finance, marketing, or economics).

• 3 – 5 years mutual financial sales experience required; external sales strongly preferred.

• Excellent interpersonal, teamwork and relationship building skills.

• Excellent oral and written communication skills.

• Excellent group presentation and financial sales skills.

• Excellent organization skills.

• Must be self-motivated and able to work effectively with minimal supervision.

• Must reside within assigned geographic territory.

• Must have ability to travel overnight approximately 80% of time.

JOB PURPOSE:

The Regional Vice President, Wholesale is responsible for selling the firm’s products and services through a third party distribution network of broker/dealers and other financial intermediaries within assigned geographic region (states of AK, ID, MT, ND, OR, SD, UT, WA, and WY).

ESSENTIAL RESPONSIBILITIES AND JOB RESULTS:

• Works to increase sales within region by developing and maintaining new and existing relationships with third party distributors which include wirehouses, regional broker/dealers, independent financial planners, registered investment advisors, banks and insurance companies.

• Conducts the following programs to develop these relationships and promote the firm’s products: group broker/dealer product and market training sessions, client seminars, broker/dealer conferences and annual meetings, relationship building with sales management at key firms.

• Works in coordination with Regional Marketing Consultant (RMC), providing direction for RMC’s outbound sales call campaigns and strategic territory coverage.

• Maintains high activity level of face-to-face selling which requires four to five days per week in the field.

OTHER JOB FUNCTIONS:

• Coordinates joint sales efforts, including new product launches and inclusion in wrap fee programs with focus firms within region.

• Responds to inquiries and resolves problems of a complex nature with key regional representatives and firms.

• Stays current and up-to-date with market, economic and industry trends, as well as competitor products.

• Maintains a detailed level of knowledge of the firm’s products and services.

• Supplies input concerning industry developments and client needs for incorporation into company’s strategic marketing decisions.

• Operates a regional budget by making appropriate allocations to maximize sales opportunities while staying within annual regional expense limit. Submits expense reimbursement reports in a timely manner.

• Prepares an annual regional business plan.

WORKING CONDITIONS:

• Work requires extensive travel and includes evening and weekend hours.

• Requires high activity level of face-to-face selling.

Multi-Billion Dollar AUM Mutual Fund Seattle, WA 09/10/2014
Trading Firm Compliance Manager

Our client, a high-frequency proprietary trading firm, seeks a Compliance Manager to work with their in-house Compliance and Legal departments. This role offers many opportunities for professional development in a quickly-growing firm.

Responsibilities

  • Developing and implementing compliance policies and procedures for the firm’s global trading businesses
  • Coordinating the response to regulatory exams, inquiries, and related matters raised by the Securities and Exchange Commission, the Commodities Futures Trading Commission, various U.S. self-regulatory organizations and exchanges, and international regulators by working closely with the firm’s trading teams and other departments
  • Building and monitoring surveillance of their trading on multiple markets
  • Facilitating the addition of new markets, business lines, and counterparty relationships in the U.S. and abroad in conjunction with the firm’s Accounting, Legal, and Operations departments and outside counsel
  • Researching and liaising with senior management regarding the legal and regulatory impact of new legislation and proposed or final rules and regulations, including drafting comment letters relating to proposed regulations and working with industry groups to draft group responses
  • Preparing and maintaining regulatory filings
  • Assisting in the development of compliance training for employees and conducting training sessions
  • Acting as a resource to educate and train more junior members of the Compliance team

Qualifications

The ideal candidate will have 6-10 years of regulatory compliance experience in a broker-dealer, trading, or asset management firm. In addition, he or she should have:

  • Significant experience with SEC, FINRA, CFTC, and other regulators and familiarity with rules relating to broker-dealers, proprietary trading firms, and investment advisers
  • Knowledge of U.S. trading rules, including Reg. SHO, Reg. NMS, and specific rules of exchanges
  • Experience working with trading desks and the ability to give well-considered and practical advice to traders and senior management
  • Familiarity with the trading of various instruments, including stocks, fixed-income products, foreign exchange, futures, commodities, and energy interests
  • Experience dealing with electronic trading issues in the U.S. and abroad
  • A strong network of securities and futures industry contacts and experience working with industry groups
  • Excellent written and verbal communication skills
  • Outstanding organizational abilities and a strong attention to detail
  • The ability to work effectively both in a team environment and independently
  • The ability to coordinate large and complex projects
  • Bachelor’s degree and excellent transcripts
  • Law degree or master’s degree (a plus) 
High Frquency Prop Trading Firm in NYC New York, NY 09/10/2014
Trading Firm Senior Windows Systems Administrator

Our client, a high-frequency proprietary trading firm, seeks a Senior Windows Systems Administrator to lead their small but rapidly growing Windows Team.

The Senior Windows Systems Administrator will lead the team that designs and maintains the firm’s global Windows infrastructure, consisting of 160 desktops and over 50 servers. Responsibilities include strategically planning for the growth of the infrastructure, maintaining existing systems, and proactively researching and implementing new products as needed.

The ideal candidate will have knowledge spanning all Microsoft products, third-party software, and Open source software running on Linux, as well as at least four years of experience in architecting and supporting a reliable, scalable Windows network. As their Windows Team is responsible for everything from design to deployment to user support, the Senior Windows Systems Administrator should be comfortable working in all of these areas, which are integral to the firm’s day-to-day operations.


Additionally, candidates should have:

  • A bachelor's degree in computer science
  • In-depth knowledge of fundamentals to include networking, DNS, SSL, RAID, and attack vectors on a Windows network
  • At least four years of experience in architecting and supporting a reliable, scalable Windows network
  • In-depth knowledge of Windows 2008/7 and Active Directory, including Group Policy, Kerberos, and LDAP
  • Strong scripting knowledge of at least one of the following languages: PowerShell, Python, or Perl
  • Extensive experience with Exchange and ActiveSync troubleshooting, management, and automation
  • Experience with large-scale server/desktop management and deployment
  • Experience with Linux preferred, particularly with Windows-Linux interaction (Samba and LDAP)
  • Experience with SharePoint and virtualization (a plus)
  • Passion for technology 
High Frequency Prop Trading Firm in NYC New York, NY 09/10/2014
Wells Fargo Securities Equity Research Associate (Biopharmaceuticals)

In this position you will partner with Senior Analysts covering the Pharmaceuticals and Biotechnology sectors in Wells Fargo s Healthcare Equity Research department. Specific responsibilities include creating, updating, and maintaining financial models, writing company and industry reports, conducting fundamental research and communicating with clients, internal sales people and senior management. Exposure to institutional investors, covered company/industry corporate executives, and medical/scientific and other experts will become an integral part of the position.

Requirements

2+ years experience in equity research in pharmaceuticals, biotechnology or healthcare investment banking, healthcare consulting, and/or the pharmaceutical/biotechnology industries.

Preferred Skills

Advanced degree in the life sciences (MD or PhD) Superior financial accounting and financial statement analysis skills, excellent financial modeling skills, a strong work ethic, attention to detail, and the ability to work autonomously and in a team environment. Strong written and oral communication skills and the ability to manage multiple tasks simultaneously. Proficiency in Microsoft Word, Excel and Power Point

Series 7, 63, 86 & 87. Factset, CapIQ and Bloomberg, and other data aggregation programs

 

We consist of over 4100 team members in 40+ offices across the US, Europe and Asia focused on US middle market and large corporations, and global institutional investors. Wells Fargo Securities brings together the company's market-leading businesses in debt and equity underwriting, mergers and acquisitions, loan syndication, debt and equity sales and trading, tax-exempt products, research and economics, and hedging products relating to equity, commodities and interest rate risks. Our customer-driven model is focused on delivering capital markets solutions to long standing customer relationships in middle market, large corporate, institutional, commercial real estate, municipal and internal Wells Fargo client segments. New York, NY 09/10/2014
Geraty Investment Partners Fund Marketing Director
We are looking for an exceptional Fund Marketing Director to spearhead our asset raising objectives. The successful marketing director will hit the ground running with the responsibility to drive the flow of new business development to raise AUM.

Opportunity:
  • Fund Marketing Director will be responsible for introducing Geraty Investments Partners, L.P. to sophisticated high net worth individuals and institutional investors including foundations, endowments, and other institutional investors.
  • In addition to identifying and closing new client relationships, the Fund Marketing Director will also have the opportunity to interact with and provide the highest level of client service to our existing group of investors. 
  • This position will take the lead in prospecting and managing client relationships. 

Summary of Responsibilities:


  • Raise capital from institutional investors and high net worth individuals for Geraty Investments Partners, L.P. (this encompasses prospecting to client retention through service)
  • Organize and facilitate introductory calls/meetings with investors
  • Organize and facilitate onsite due diligence meetings with investors
  • Respond to Due Diligence Questionnaires and other investor requests for information 
  • Develop and prepare marketing materials (i.e. Presentations, DDQ, Performance Metrics)
  • Maintain investor files in contact database
  • Coordinate with outside and inside counsel re: fund document review, subscription documents, negotiate side letters
  • Manage all aspects of client service activities (includes planning, participation and requisite follow-up) such as, annual meetings, client meetings, other. 
  • Work with other Geraty team members to facilitate and service existing clients once they have invested in the fund
  • Work on special projects as needed

  • Qualifications --BA/BS required. MBA or CFA preferred.

  • Proven track record of raising funds from institutional and high net worth investors required
  • 5 to 7+ years experience in financial markets with solid understanding of financial market fundamentals required
  • Experience with institutional sales/client service required and experience in hedge funds, alternative investments or other investment related industry a plus
  • Exceptionally strong presence and communication skills required
  • Highest level of professionalism required 
  • Attention to detail required

Geraty Investments was founded in 2006 by David Geraty and is committed to becoming a leading advisory and investment management firm focused on the Restaurant and Specialty Food Retailing Industries. 

Minneapolis, MN 09/10/2014
Keating Investments Hedge Fund/Private Equity Fundraiser
Leverage your relationships with institutional investors and use your expert knowledge of the alternative investments industry to help a unique (“liquidity as an investment style”) and highly entrepreneurial Denver-based fund manager break into the institutional market with the launch of the firm’s second publicly traded fund.  Over the next five quarters, your goal is to raise $100 million from U.S.-based institutional investors.  Join us at a critical inflection point as we establish our fundraising department.  Grow with us as we seek to increase AUM from $75 million to $1 billion over the next 3-5 years.  And then enjoy the fruits of your labor over the long term as we work together to build a valuable investment management franchise.

Keating Investments, LLC is a 15-year-old SEC-registered investment adviser that manages Keating Capital, Inc. 

Keating Capital is a business development company that specializes in making pre-IPO investments in innovative, emerging growth companies that are committed to and capable of becoming public. Keating Capital’s shares are listed on Nasdaq under the ticker symbol “KIPO.”

Greenwood Village, CO 09/10/2014
Advisors Asset Management Trader (Municipal Bonds)

The primary role of the sales trader will be to trade municipal bonds and to work closely with the sales teams to provide timely and competitive executions for our clients. The ideal candidate will have active, producing client accounts.


Responsibilities:
 

• Facilitate and execute risk and riskless principal transactions

• Handling all inquiries for sales team members

• Analyze execution quality & connectivity monitoring

• Works with market makers and dealers for execution of orders

• Build portfolios and Offering lists for salespeople

• Manage the Risk of Inventory

• Educate the sales team on market conditions, problem names.

• Interact with brokers, custodians, and middle-office providers as needed

• Assist middle-office teams with trade matching/corrections and failing/failed trade settlement resolutions (pre- and post-settlement date)

• Monitor Automated bid wanteds through internal system, Bloomberg, and all ECN’s

• Updating existing Bloomberg loops and creating new contacts to better distribute bids

• Create reports to monitor the bid wanted performance

• Responsible for servicing all Fixed Income auto-ex trades and bid wanted’s for team

• Perform other job-related duties as assigned


Qualifications:
 

• 3-5 years of experience in the financial services industry

• Required Education: Bachelor's Degree or equivalent experience

• Required Certifications: Series 7 and 66

• Driven and goal-oriented, focused on success

• Demonstrated abilities in time management; including, managing multiple projects and meeting strict deadlines

• Excellent communication and group presentation skills

• Mathematical aptitude and skills

• Proven experience working collaboratively, improving productivity, and implementing ideas

• Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point), Internet and contact management systems


For over 30 years, Advisors Asset Management (AAM) has been a trusted partner for financial advisors. We deliver innovative, high quality investment products and support solutions that enable you to focus on helping your clients achieve their investment objectives.

Melville, NY 09/10/2014
Advisors Asset Management Trader (Municipal Bonds)

The primary role of the sales trader will be to trade municipal bonds and to work closely with the sales teams to provide timely and competitive executions for our clients. The ideal candidate will have active, producing client accounts.


Responsibilities:
 

• Facilitate and execute risk and riskless principal transactions

• Handling all inquiries for sales team members

• Analyze execution quality & connectivity monitoring

• Works with market makers and dealers for execution of orders

• Build portfolios and Offering lists for salespeople

• Manage the Risk of Inventory

• Educate the sales team on market conditions, problem names.

• Interact with brokers, custodians, and middle-office providers as needed

• Assist middle-office teams with trade matching/corrections and failing/failed trade settlement resolutions (pre- and post-settlement date)

• Monitor Automated bid wanteds through internal system, Bloomberg, and all ECN’s

• Updating existing Bloomberg loops and creating new contacts to better distribute bids

• Create reports to monitor the bid wanted performance

• Responsible for servicing all Fixed Income auto-ex trades and bid wanted’s for team

• Perform other job-related duties as assigned


Qualifications:
 

• 3-5 years of experience in the financial services industry

• Required Education: Bachelor's Degree or equivalent experience

• Required Certifications: Series 7 and 66

• Driven and goal-oriented, focused on success

• Demonstrated abilities in time management; including, managing multiple projects and meeting strict deadlines

• Excellent communication and group presentation skills

• Mathematical aptitude and skills

• Proven experience working collaboratively, improving productivity, and implementing ideas

• Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point), Internet and contact management systems

For over 30 years, Advisors Asset Management (AAM) has been a trusted partner for financial advisors. We deliver innovative, high quality investment products and support solutions that enable you to focus on helping your clients achieve their investment objectives.

San Antonio, TX 09/10/2014
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