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Company Title Job Title Company Profile Location Date Posted
Brandes Investment Partners Senior Regional Associate
The Sr. Regional Associate position works directly with Regional Managers to assist in developing and implementing a regional business plan to service, and support current and potential financial advisors and clients.
Brandes is a leading investment advisory firm, specializing in managing global equity and fixed-income assets for clients worldwide, firm manages a variety of active investment strategies and applies its investment philosophy consistently in all markets San Diego, CA 09/10/2014
Private Broker Dealer Equity Sales Professional
The ideal candidate would have to believe in their ability to generate commissions to get paid with a product that is growing(energy, tech and homebuilding/building products so far) but still smaller in scope than many shops
Company prefers to remain private Dallas, Texas, 09/10/2014
Private Asset Management Firm Fund Administrator
This position is on the administrative side of a midsized registered investment adviser and is not part of a registered fund complex. F.A is responsible for all administrative and operational aspects of the firm’s non-registered funds.
Company is an independent institutional investment manager with $8.5B AUM that specializes in growth equities including domestic, non-U.S., active extension, and global strategies across all capitalization spectrums for clients around the world. New York, NY, 09/10/2014
Prime Advisors Municipal PM/Trader

Our client is looking for an experienced municipal PM/Trader that has had experience running money against a total rate of return benchmark or fund. This would be a senior position with the capability of taking on marketing/finals presentations as well as client responsibility Minimum of 7 years’ experience BA Must Work in Washington Office Team player

We specialize in the management of fixed income investment portfolios for the insurance industry. We manage $11.3 Billion in assets as ofJune 30, 2012. The company's client base insures a variety of underlying risks.

Redmond, WA 09/10/2014
First Midwest Securities (FSMI Advisers) Chief Compliance Officer

The Chief Compliance Officer is responsible for directing, planning and providing oversight to develop, monitor and maintain an effective Corporate Compliance Program to ensure compliance with federal and State, and SRO rules and regulations and to assist in preventing illegal, unethical or improper conduct.


·          Examine no less than annually the Firm’s policies and procedures, and practices to ensure compliance with rules and regulations.

·          Implement as required, revisions, preparation, and dissemination of new and updated compliance written supervisory procedures, and related documents.

·          Ensuring that the steps in the firm’s compliance process – risk identification, establishing policies and procedures and implementing those policies and procedures – are appropriate and are undertaken timely by staff of the firm to whom those functions have been assigned.

·          Establishing a compliance calendar that identifies all important dates by which regulatory, client annual disclosures, RR annual reporting, and compliance matters must be completed to ensure that these important deadlines are not missed.

·          Supervise the maintenance of books and records.

·          Supervise the maintenance of records for monitoring associated persons’ personal securities transactions compliance with the Code of Ethics.

·          Review client account restriction violation reports weekly to determine issues in Operations and/or Trading.

·          Stay abreast of changes to SRO rules and regulations affecting the management and operations of the Firm.

·          Coordinate with all departments to ensure adherence to rules and regulations relating to the Firm’s business lines and activities.

·          Coordinate and supervise firm wide compliance-related programs, such as branch examinations, compliance training, marketing and advertising review, correspondence review, compliance testing and reporting.

·          Work closely with the Trading department to monitor trading policies, trade error handling, restricted accounts, and supervisory controls.

·          Conduct and report the results of annual compliance review pursuant to Rule 3130 and 3012; document exceptions, violations and resolutions, as needed.

·          Ensure and oversee required filings are made timely – Form BD updates, Form U4/U5 processing, 4530 Filings, Rules 3130 and 3012, OATS, Trace, MSRB, etc.

·          Conduct Code of Ethics training for new employees.

·          Respond to regulatory inquiries and/or examinations as necessary.

·          Coordinate and participate in business continuity/emergency preparedness training as needed.

·          Participate in industry events and programs to develop and implement compliance best practices.

·          Conduct the majority of branch examinations and report the finds in a timely manner.

·          Oversee and perform various compliance-related projects as required.

·          Conducting routine employee training and education on various compliance topics including the code of ethics, political contributions, marketing and advertising, etc.


Direct supervision of 5 Compliance Principals, including Registration and Direct Business


·          Knowledge of federal, state and SRO rules and regulations pertinent to a FINRA registered Broker/Dealer.

·          Proven expertise in managing a robust and comprehensive compliance program.

·          Proven leadership abilities, strong verbal, written and interpersonal communication skills at all levels in the organization.

·          Strong business and compliance acumen; willingness to make business judgments and understand business risks in relation to compliance requirements.

Ability to multi-task and meet necessary deadlines.

·          Ability to analyze data, identify errors and recommend solutions.

·          Ability and flexibility to travel in conducting branch examinations.


Bachelors degree from an accredited university; or 10 years related experience and/or training; or equivalent combination of education and experience. 


FINRA Series 24, 63 required; Series 53, 65 and 79 a plus

We are a full service Broker/Dealer and Registered Investment Adviser located in central Illinois. We are privately owned and will continue to maintain genuine independence and freedom to best serve the needs of our Representatives and their clients. Our philosophy of true independence has served us well for over two decades and will continue to drive our success for decades to come. Bloomington, IL 09/10/2014
Metacapital Mangement LP Junior Controller

The firm is seeking an individual in the hedge fund accounting/operations field to work directly for the CFO.  The successful candidate will be responsible for assisting with the accounting, audit and tax reporting for two master-feeder hedge funds, the month end NAV process, SEC/CFTC/CIMA reporting for a RIA, cash and trade reconciliations, counterparty agreements, management company accounting, compliance oversight, human resources, marketing materials as well as ad hoc reporting and investor requests.  This is an excellent opportunity for a CPA looking to advance his/her career with an established firm. 

Due to the small size of the team, the Junior Controller is a highly visible position with excellent growth opportunities. 


CPA and experience in financial services required.  Strong quantitative and spreadsheet skills required, with some programming experience in VBA preferred.  Candidates with 2-5 years relevant prior experience in Hedge Fund Accounting or Operations/Middle Office role as well as a fixed income background (preferably in mortgage-backed securities) will be considered favorably.


Base salary plus performance-based bonus and attractive benefits package.

Metacapital Management LP is a midtown Manhattan based fixed income manager, specializing in mortgage and other asset-backed securities, with over 1.2B AUM. The SEC registered manager has a ten year track record and currently employs a seasoned team of eleven investment professionals.

New York, NY 09/10/2014
Job Description