Capital Markets Associate - Operations and Compliance
Institutional Equity Sales
Institutional Equity Sales Trader
Institutional Fixed Income Sales
Investment Banking
Senior Research Analyst
Institutional Equity Sales
Primary duties and responsibilities:
- Develop a clientele of qualified institutional clients to invest in our investment recommendations and products.
- Maintain and support client relationships in order to increase sales from existing clients.
- Work with the Institutional Sales Manager to plan and implement all sales strategies related to Institutional Equity Sales and activities driven to achieve goals through account acquisition and equity building.
- Develop comprehensive sales plans and strategies to align sales activities with the overall company vision/mission.
- Support our conferences and other marketing events with a dedicated calling program.
Experience, Knowledge and Qualifications:
- Excellent communication and interpersonal skills
- Must have exemplary record of sales performance in the securities industry.
- 3+ years experience in financial services industry
- Team Player
- Series 7, 63
Institutional Equity Sales Trader
Primary duties and responsibilities:
- Develop and maintain relationships for enhanced business growth.
- Respond effectively to client inquiries pertaining to trading and market views.
Experience, Knowledge and Qualifications:
- Excellent communication and interpersonal skills.
- 3+ years of experience as Sales Trader.
- Ability to work independently in a fast-paced environment.
- Series 7, 55, 63
Institutional Fixed Income Sales
Primary duties and responsibilities:
- Maintain and monetize your existing institutional investor relationships that you bring to the platform.
- You must have the ability to source and develop new institutional relationships.
- You should have a successful track record selling one or more of the following fixed income products:
- Corporate
- Agency
- Treasury
- Municipal
- MBS/ABS
- High Yield
Experience, Knowledge and Qualifications:
- Existing book of institutional investors that purchase/sell one or more of the following products:
- Corporate
- Agency
- Treasury
- Municipal
- MBS/ABS
- High Yield
- Excellent communication and interpersonal skills
- Proven track record of sales production for 2+ years above $300k per year.
- Series 7, 63/66
Investment Banking
Primary duties and responsibilities:
- Relationships with clients and sourcing potential clients.
- Lead all aspects of execution of investment banking transactions.
- Maintain a pipeline of banking transactions.
- Preparation of presentations to clients and prospective clients.
- Perform and supervise preparation of valuation analyses of clients and targets.
- Perform due diligence investigations.
Experience, Knowledge and Qualifications:
- Excellent communication and interpersonal skills.
- Experience in financial services industry.
- Highly motivated, energetic, personable and capable of managing multiple tasks.
- Series 7, 63
- Team Player
Senior Research Analyst
Primary duties and responsibilities:
- Develop a universe of coverage consistent with company goals;
- Initiating coverage on those names.
- Develop in-depth financial models.
- Meet with company management and keeping abreast of industry trends.
- Develop an investment thesis and ratings on the industry and the companies under coverage and write research and industry notes as required.
- Develop a list of portfolio managers and buy side analysts for research dissemination; and maintaining sources of information within the industry for channels checks.
Experience, Knowledge and Qualifications:
- MBA and/or a CFA
- Series 7, 63, 86 and 87 plus at least 5 years experience in equity research.
- Experience with subject sectors and a keen understanding of their operational, strategic and technology issues are required.
- Experience with a variety of business models and strong analytical abilities are required.
- Team Player
Capital Markets Associate - Operations and Compliance
Primary duties and responsibilities:
- Operations-Related Job Responsibilities:
- Process all trades (equity and fixed income capital market trades).
- Review and reconcile trading activity with clearing broker, clients and proprietary/sales-traders.
- Review daily blotter and retain documentation of compliance review of daily blotter.
- Reconcile clearing statement(s) monthly.
- Open and update client accounts; process client requests with clearing broker.
- Maintain client files in accordance with regulatory requirements.
- Process monthly commission payout to Sales/Sales-Traders (currently Xtiva system).
- Issue, process and collect upon outstanding soft dollar payment invoices.
- Regulatory Compliance-Related Job Responsibilities:
- Document periodic review, update and posting to the firm’s intranet the following
- Written Supervisory Procedures (WSP)
- Employee on boarding materials
- Document and review the following daily (and any additional regulatory compliance activities)
- OATS reporting
- ACT reporting
- Trade reporting – SEOMS (Bloomberg)
- Best execution rules
- TRACE rules
- Internal & external communications, including mail, email, IM’s & other forms as appropriate
- Document and review the following bi-monthly
- AML and CIP compliance
- FINCEN updates
- Document and review the following monthly/quarterly
- Employee brokerage accounts (compliance with securities trading policies and procedures)
- SEC Rule 605 and 606 reports
- Document and review the following annually
- Annual compliance meetings, compliance certification and continuing education
- Branch reviews
- Business Continuity Plan
- Document the following upon request or periodically
- Review www.KBRO.com web site for compliance with FINRA advertising regulations
- Research disclosures
- Process FINRA Web-CRD disclosures (Forms U4, U5, exam requests, etc.)
- Watch and restricted lists