Our client is looking for a sales Account Executive to be responsible for cultivating relationships and introducing our hedge fund products to the Registered Investment Adviser (RIA) community and high net worth clients and prospects. Responsibilities include:
• Educating clients about the products on our platform
• Contacting and qualifying leads
• Following up after Sales VP’s initial RIA sales visits, including:
o Providing advisers with database access
o Answering advisers’ questions about our funds
o Closing sales with individual advisors
• Actively networking with existing leads to identify potential prospects
• Ensuring that all logistical and operational details necessary for sales are handled effectively
• Acting as a liaison between Sales VP and RIA clients
• Demonstrating extensive knowledge of how products on our platform may complement other investment products
• Working jointly with Sales VP to develop RIA marketing plans
• Building custom portfolios of hedge fund products using our proprietary software
• Helping to implement and enhance “white glove” service to clients
The position requires:
• Deep knowledge of investments, preferably alternatives
• Familiarity with the world of RIAs
• Series 7 and 66 licenses
Preferred:
• CAIA certification
• Previous experience wholesaling to RIAs
We pride ourselves on our people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel. Compensation commensurate with experience and background. Attractive payout schedule
Sunday, November 30, 2008
Wednesday, November 5, 2008
Sales Assistant
Our client is seeking a Sales Assistant to help raise assets in the Individual High Net Worth, Family Office and Registered Investment Adviser market segments. Job responsibilities include:
1. Providing strong sales support to Sales VP and Partners to maximize their sales productivity, including:
• Handling customer relations issues, assisting in both the retention
and acquisition of assets under management
• Scheduling and coordinating client meetings/visits/conferences
• Prioritizing client/prospect contacts to maximize sales efforts
• Keeping track of sales activities
• Providing clients with access to our proprietary databases, software
and websites
• Planning and implementing follow-up actions with clients and prospects
• Populating our CRM database (GoldMine) with client info
• Drafting sales reports from GoldMine
• Database administration, including data clean-up and data integrity
2. Working closely and collaboratively with the Operations group to ensure that all sales paperwork (subscription documents, wire transfers, wire confirmations, etc.) is processed rapidly and efficiently
Requirements:
• Outstanding professionalism and client-service skills – able to provide “white glove” service to our clients
• Exceptional attention to detail and organizational ability
• Strong ability to:
o Take initiative
o Work both collaboratively and independently
• Excellent verbal communication skills
• High integrity and honesty
• Strong computer skills
• Bachelors degree
A plus:
• Securities licenses - Series 3, 7 and 66
• Experience with:
o Financial services or alternative investments (hedge funds)
o CRM software
• CAIA designation or candidate
We pride ourselves on our people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel. Salary commensurate with experience and background.
1. Providing strong sales support to Sales VP and Partners to maximize their sales productivity, including:
• Handling customer relations issues, assisting in both the retention
and acquisition of assets under management
• Scheduling and coordinating client meetings/visits/conferences
• Prioritizing client/prospect contacts to maximize sales efforts
• Keeping track of sales activities
• Providing clients with access to our proprietary databases, software
and websites
• Planning and implementing follow-up actions with clients and prospects
• Populating our CRM database (GoldMine) with client info
• Drafting sales reports from GoldMine
• Database administration, including data clean-up and data integrity
2. Working closely and collaboratively with the Operations group to ensure that all sales paperwork (subscription documents, wire transfers, wire confirmations, etc.) is processed rapidly and efficiently
Requirements:
• Outstanding professionalism and client-service skills – able to provide “white glove” service to our clients
• Exceptional attention to detail and organizational ability
• Strong ability to:
o Take initiative
o Work both collaboratively and independently
• Excellent verbal communication skills
• High integrity and honesty
• Strong computer skills
• Bachelors degree
A plus:
• Securities licenses - Series 3, 7 and 66
• Experience with:
o Financial services or alternative investments (hedge funds)
o CRM software
• CAIA designation or candidate
We pride ourselves on our people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel. Salary commensurate with experience and background.
Account Executive
Our client is looking for a sales Account Executive to be responsible for cultivating relationships and introducing our hedge fund products to the Registered Investment Adviser (RIA) community and high net worth clients and prospects. Responsibilities include:
• Educating clients about the products on our platform
• Contacting and qualifying leads
• Following up after Sales VP’s initial RIA sales visits, including:
o Providing advisers with database access
o Answering advisers’ questions about our funds
o Closing sales with individual advisors
• Actively networking with existing leads to identify potential prospects
• Ensuring that all logistical and operational details necessary for sales are handled effectively
• Acting as a liaison between Sales VP and RIA clients
• Demonstrating extensive knowledge of how products on our platform may complement other investment products
• Working jointly with Sales VP to develop RIA marketing plans
• Building custom portfolios of hedge fund products using our proprietary software
• Helping to implement and enhance “white glove” service to clients
The position requires:
• Deep knowledge of investments, preferably alternatives
• Familiarity with the world of RIAs
• Series 7 and 66 licenses
Preferred:
• CAIA certification
• Previous experience wholesaling to RIAs
We pride ourselves on our people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel. Compensation commensurate with experience and background. Attractive payout schedule
Please submit your resume to be considered for this position
• Educating clients about the products on our platform
• Contacting and qualifying leads
• Following up after Sales VP’s initial RIA sales visits, including:
o Providing advisers with database access
o Answering advisers’ questions about our funds
o Closing sales with individual advisors
• Actively networking with existing leads to identify potential prospects
• Ensuring that all logistical and operational details necessary for sales are handled effectively
• Acting as a liaison between Sales VP and RIA clients
• Demonstrating extensive knowledge of how products on our platform may complement other investment products
• Working jointly with Sales VP to develop RIA marketing plans
• Building custom portfolios of hedge fund products using our proprietary software
• Helping to implement and enhance “white glove” service to clients
The position requires:
• Deep knowledge of investments, preferably alternatives
• Familiarity with the world of RIAs
• Series 7 and 66 licenses
Preferred:
• CAIA certification
• Previous experience wholesaling to RIAs
We pride ourselves on our people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel. Compensation commensurate with experience and background. Attractive payout schedule
Please submit your resume to be considered for this position
Compliance Specialist
Currently, there is an opening for a Compliance Specialist who will report to the Chief Compliance Officer (CCO). The Compliance Specialist will be responsible for monitoring activities related to a limited purpose broker dealer (securities) and introducing broker (futures), and also an affiliated investment adviser and commodity pool operator for a hedge fund complex. This position will work closely with the firm’s Sales, Operations, Marketing and IT Departments and, working with the CCO, will interact with members of senior management.
Essential Functions:
• Assist the CCO with the design, implementation and maintenance of written supervisory procedures and compliance policy manuals
• Oversee and monitor registered representatives in relation to the distribution of hedge funds, commodity pools and commodity futures products
• Conduct supervisory control reviews and tests for the broker-dealer and conduct compliance program reviews for affiliated investment adviser and commodity pool operator
• Review e-mail and other types of correspondence for compliance with applicable SEC, FINRA, CFTC, and NFA regulatory requirements
• Manage and monitor registration status with SEC, CFTC, FINRA, NFA and state regulators, and prepare and file required reports including Forms B-D, 7-R & ADV, but excluding FINOP reports
• Manage and monitor required series licenses and registrations and continuing education program requirements for all firm personnel
• Review and monitor personal securities trading
• Research and respond to regulatory inquiries and requests for information
• Review account documents for compliance with applicable AML and KYC regulations (e.g., Bank Secrecy Act, PATRIOT Act, etc.)
• Ability to work in a team environment
Qualifications:
• The position of Compliance Specialist is a highly visible role and the successful candidate must be able to communicate clearly and effectively across all levels of management
• 4-year college degree or equivalent work experience
• 3-5+ years of securities compliance experience, with significant working knowledge of SEC and FINRA regulatory requirements and compliance systems (CRD) required
• Experience with CFTC and NFA regulatory requirements and alternative investments is a plus, but not required
• Series 7 and 24 licenses are required; Series 3 is a plus
• Proficiency in MS Office is required
• Knowledge of Goldmine, Crystal Reports and/or SQL is a plus, but not required
Please submit your MS Word resume to be considered for this position.
Essential Functions:
• Assist the CCO with the design, implementation and maintenance of written supervisory procedures and compliance policy manuals
• Oversee and monitor registered representatives in relation to the distribution of hedge funds, commodity pools and commodity futures products
• Conduct supervisory control reviews and tests for the broker-dealer and conduct compliance program reviews for affiliated investment adviser and commodity pool operator
• Review e-mail and other types of correspondence for compliance with applicable SEC, FINRA, CFTC, and NFA regulatory requirements
• Manage and monitor registration status with SEC, CFTC, FINRA, NFA and state regulators, and prepare and file required reports including Forms B-D, 7-R & ADV, but excluding FINOP reports
• Manage and monitor required series licenses and registrations and continuing education program requirements for all firm personnel
• Review and monitor personal securities trading
• Research and respond to regulatory inquiries and requests for information
• Review account documents for compliance with applicable AML and KYC regulations (e.g., Bank Secrecy Act, PATRIOT Act, etc.)
• Ability to work in a team environment
Qualifications:
• The position of Compliance Specialist is a highly visible role and the successful candidate must be able to communicate clearly and effectively across all levels of management
• 4-year college degree or equivalent work experience
• 3-5+ years of securities compliance experience, with significant working knowledge of SEC and FINRA regulatory requirements and compliance systems (CRD) required
• Experience with CFTC and NFA regulatory requirements and alternative investments is a plus, but not required
• Series 7 and 24 licenses are required; Series 3 is a plus
• Proficiency in MS Office is required
• Knowledge of Goldmine, Crystal Reports and/or SQL is a plus, but not required
Please submit your MS Word resume to be considered for this position.
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