Fund Raiser Ii Job Description Sample
Management Analyst II (Trust Fund Coordinator) (Vacancy)
The Department of Human Resources is currently looking to fill the position of Trust Fund Coordinator. The selected candidate will be responsible for researching, collecting and analyzing claims and trust fund data; preparing trust fund projections; establishing funding and reserve levels for the trust funds; monthly monitoring of employee benefits trust funds; act as a liaison between the City and benefit providers to evaluate services provided; and prepare bid specifications as required.
Under direction, is responsible for performing research, analysis, recommendation, and consultation to management on diverse or complex issues and matters having a fiscal or operational impact; performs related duties as required.
Examples of Work
(Any one position may not include all of the duties listed, nor do the examples cover all of the duties that may be performed.)
Leads or conducts operational or administrative reviews, program evaluations, and special studies pertaining to various fiscal, operational and managerial issues;
Researches and analyzes major operational or administrative issues and makes recommendations for resolution or improvement;
Analyzes and proposes ways to improve an organization's productivity, efficiency, or budget;
Informs management of any situation current or anticipated that may impact budget, operations, or service deliveries;
Develops and recommends strategies for the implementation of new programs, projects, or policies pertinent to the mission of the department or division; participates in the implementation and/or training processes relating to these programs, projects or policies;
Leads major policy and management projects, productivity studies and operational and legislative reviews;
Serves as a resource or specialist on fiscal, operational or other managerial issues affecting the department or division;
Prepares financial impact statements; prepares reports of projected revenues and expenditures; identifies problems and recommends corrective action;
Conducts financial studies to determine the availability of resources for funding current or new programs, projects or services;
Researches, analyzes, and recommends various rate/fee structures and other options to enhance the viability of specific services, programs or operations;
Prepares and monitors the operating and capital improvement budgets;
Researches grant and revenue enhancement opportunities;
Evaluates grant programs for effectiveness and regulatory compliance;
Prepares comprehensive financial, statistical, technical, and narrative reports.
Possession of a bachelor's degree and four (4) years of professional experience researching, analyzing, and making recommendations OR providing consultation to management on matters pertaining to public or business administration. Substitution(s): A master's degree may be substituted for one (1) year of the required experience.
Test/Job Contact Information
Recruitment #: 18-0780-V6
Employment Type: Full-Time Regular
If you wish to apply in person, please submit an application and any supplementary materials to:
Department of Human Resources
77 North Front Street: Ste 101
Columbus, Ohio 43215
P: (614) 645-0792
The City of Columbus is an Equal Opportunity Employer
Credit Analyst II - Equity Fund Resources - Menlo Park
Equity Fund Resources (EFR) Portfolio Credit Analyst will be responsible for compliance monitoring of existing borrowers' loan accounts, assessment of overall credit risk in the portfolio and manage team's Client Relationship Management (CRM) portal. EFR analyst will assist relationship managers and business development bankers in performing due diligence on and underwriting of credit facilities for venture capital and private equity firms.
Work with Relationship Manager to review client reporting packages.
Enters and analyzes client financial statements and quarterly reports.
Calculates client financial covenants pursuant to the specific client's loan requirements.
Determines client's availability of funds and processes loan advances as applicable.
Manages and maintains Microsoft CRM database for the entire EFR team.
Manages data feeds used for daily/weekly blasts.
Assists in underwriting credit deals for Venture and Private Equity Firms.
Assists in analyzing portfolio performance and forecasts.
Performs other duties and/or special projects as assigned.
Rendering assistance to lending officers on credit matters and loans involving unusual situations or requiring close scrutiny.
Obtain data to perform portfolio concentration analysis.
These specifications are general guidelines based on the minimum experience normally considered essential to the satisfactory performance of this position. The requirements listed below are representative of the knowledge, skill and/or ability required to perform the position in a satisfactory manner. Individual abilities may result in some deviation from these guidelines.
Bachelor's degree (BA) from a four (4) year college or university, and a Minimum of two (2) or more related financial or banking sector experience.
Related experience should consist of an in-depth background in financial statement analysis.
Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry.
Ability to spread financial statements and tax returns and complete cash flow forecasting.
Creative and strategic thinker with excellent problem solving and organizational skills.
Ability to exhibit professionalism and maintain a positive attitude under pressure.
Ability to work independently yet collaborate cross-functionally in a team environment.
Superior oral and written communication skills.
Ability to handle multiple priorities, projects and relationships simultaneously.
Ability to make pertinent comments relating to the current credit risk as reflected by the spread.
Proficient in Microsoft Office, Excel, PowerPoint, Outlook.
CRM, Baker Hill, Moody's and loan and deposit systems preferred.
Ability to work with minimal or no supervision while performing duties
Administrative Associate - Fund Development
Excellence, Safety, Caring, Integrity….What do you value?
Join us at Windham Hospital as we live our values every day. As part of Hartford HealthCare we create a better future for healthcare in Connecticut and beyond.
By embodying these values we have become nationally respected for patient care and most trusted for personalized coordinated care. Come be part of something special!
For more than 75 years, Windham Hospital has treated patients with the latest high-tech equipment, operated by some of the most skilled and compassionate medical professionals available. We seek to meet the total healthcare needs of people from throughout Northeastern Connecticut. Our staff members are proud to live and work in this area, and are committed to providing quality healthcare to our community.
The Administrative Associate assists with all aspects of development activities for the Foundation; serves as a staff member to the Windham Hospital Foundation board and its committees; assists with the fundraising component for the annual Golf Classic, and other fund raising activities, including those of the Auxiliary to Windham Hospital. The person must demonstrate effectiveness in interactions with Trustees, Board Members, Corporations, Administration, medical staff, staff, volunteers, and the Auxiliary.
Possesses excellent written and interpersonal skills. Must be able to develop relationships with potential donors, corporations, foundations, and public agencies.
High School diploma required. Additional education preferred.
Three years previous secretarial experience with an additional two years of education beyond High School or two years of high level secretarial experience.
Experience: Proficient with basic computer programs, i.e. Excel, Microsoft Word.
Knowledge of data base management; Raiser's Edge preferred.
Experience in coordinating fund raising events.
Excellent communication skills, both written and verbal.
High degree of confidentiality.
Coordinator Fund Development
Implements and maintains appropriate data collection, files, and record keeping. Provides fund and grant accounting and database assistance to the Foundation leadership. Responsibilities normally include preparing general ledger entries, grant invoices, deposits and check requests, recording gifts in donor software, running fund accounting reports, providing analysis of fund balances, coordinating projects. Provides support for the office, campaigns, and special events.
Mission/Core Values: It is expected that all of the duties and responsibilities of this position will be performed in a manner consistent with the Ministry's Standards of Behavior (CARE; Compassion: seeks to understand, listen and explain; Advocate: is the voice for the vulnerable; Respect: demonstrates the highest regard for and welcomes all people; Excellence: commits to the highest standard of quality care, joyful service, and teamwork) and in a manner that reflects the core values of Mercy Health which are: Excellence, Human Dignity, Justice, Compassion, Sacredness of Life and Service. All supervisors and above are expected to model the organizational mission and values through their daily actions, decision making and priority setting. All supervisors and above are expected to develop, implement and monitor short and long range plans to meet or surpass standards consistent with the overall strategic plan.
Receives, codes, and acknowledges all philanthropic gifts to the Foundation and prepares bank deposits.
Maintains donor records and pledge payments for all the Foundations in the Toledo Region. Maintains accurate and current donor, fund balance, and grant data bases. Run queries and reports as needed.
Calculates annual award allocations for each endowed and non-endowed fund and notifies appropriate administrators.
Assists annually in producing funds accounting reports and communicating with donors.
Compiles, interprets and enters highly confidential data from various financial and departmental records to produce reports for analysis. Assists with data
gathering for Foundation and governmental reporting. Updates and maintains fund criteria records. Assists with data gathering for Foundation and governmental reporting.
Procures and oversees petty cash, postage permits and stamps.
Performs data searches and assists with report preparation for projects and grants.
Maintains and submits all time and attendance information to payroll for the Foundation staff.
Assists and participates with the Mercy Health Foundation Home Office's Advancement Service Center of Expertise.
May schedule meetings and appointments for Foundation personnel as assigned. Performs various clerical and receptionist duties as necessary. Provides support for campaigns and special events.
Minimum Years and Type of Experience: 2 years experience with database entry, finance, accounting, or bookkeeping
Other Knowledge, Skills and Abilities Required: Interpersonal Skills, confidentiality, analytical ability, compliance with federal, state, and local regulations. Computer and office skills
Other Knowledge, Skills and Abilities Preferred: Raiser's Edge software experience
Equal Employment Opportunity
It is our policy to abide by all Federal and State laws, as well as, the requirements of 41 CFR 60-1.4(a), 60-300.5(a) and 60-741.5(a), prohibiting discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibiting discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity, or national origin.
Director OF Development - Fund Development (Newport Beach, CA, US)
Reporting to the Assistant Vice President, the Director of Development will be responsible for setting the overall strategic direction of fundraising for the Hoag Women's Health Institute. The Director of Development will oversee annual, major, principal, corporate and foundation fundraising. This position will personally manage a prospect portfolio of 100+ prospects. The Director of Development will also supervise support staff.
The successful candidate will possess 10 or more years of experience in development, ideally with campaign experience, as well as managerial, strategic planning and motivational skills. The Director of Development should have demonstrated success working in complex organizations, preferably within a university/college, research-driven or medical environment, and have a track record of designing and executing comprehensive fundraising efforts.
Develops, monitors, and executes a strategic fundraising plan for the Hoag Women's Health Institute including endowment growth efforts, annual fund, comprehensive fundraising campaign(s), stewardship, planned giving, as well as special events and communications that build relationships with our constituency base.
Builds and strengthens relationships with the Hoag Hospital Foundation (HHF) board, Hospital board and other volunteer leadership members.
Meets with, cultivates and solicits major and principle gift prospects.
Works with HHF and volunteer community members on prospect identification, qualification, cultivation, solicitation and stewardship activities.
Attend Foundation, Hospital and community functions in an effort to establish and expand the relationships with our donor constituents and prospects.
Develops and administers annual fundraising operating budget for the Hoag Women's Health Institute.
Lead a campaign advisory committee for the Hoag Women's Health Institute; made up of major donors, prospects, hospital and foundation board members, physicians and hospital executives.
Assists HHF event staff in coordinating aspects of Hoag Women's Health Institute events.
Acts as liaison for fundraising activities associated with Hoag Women's Health Institute.
Develop, oversee, and execute strategic plans based on organizational priorities, special projects and initiative around our Hoag Promise comprehensive campaign.
Communicate a clear vision of how Hoag Women's Health Institute will achieve outcomes in part by philanthropic support of capital, technology, endowment, people and programs.
Strengthen advocacy and diversity; focus on involving the community in meaningful ways – with the objective being improved access to adequate, affordable, world class health care.
Serve as a member of the Hoag Women's Health Institute leadership group and as a leader of the HHF team.
Achieve goals and objectives established in Rewarding Employee Achievement & Collaboration at Hoag (REACH)
Job Specific Requirements:
Bachelor's degree required. Master's degree strongly preferred.
Ten (10) or more years of progressively responsible professional fundraising experience in public health, health systems, higher education, or an equivalent combination of relevant education and experience.
Exceptional written and verbal communication skills, technical computer competence including Internet capabilities, and proficiencies in Raisers Edge.
A clear understanding of philanthropy and philanthropic practice, in particular the unique individual relationships required to secure major/principle and corporate gifts.
The ability to move donor/prospects through the philanthropic continuum.
A proven track record of developing major gift strategies.
A proven track record of securing gifts at all levels (i.e. 5-8 figure gifts)
A proven track record of working with individuals of high net worth and visibility.
Strong interpersonal skills, exp. working with multiple constituencies to build/execute a shared vision.
Demonstrated experience in fiscal management and budget preparation.
Self-directed, grounded and collaborative leader who can facilitate change.
A creative problem solver, flexible and capable of adapting to changing priorities.
Strategic thinker, capable of moving an organization to new levels.
Proven experience building the culture of philanthropy.
Experience developing a fundraising program from the ground up.
Experience working with fundraising committees and Boards of Directors.
Leadership strengths in the areas of initiative, communication, planning, and collaboration.
Willingness to explore new partnerships and ways to collaborate with others in the Orange County community.
Proven track record of creating a culture of performance and managing multiple staff and volunteers.
Ability to assimilate information and communicate it on many levels.
Strong commitment to the mission, vision and values of Hoag Hospital.
Willingness to travel throughout California and to out-of-state meetings if necessary.
Direct experience in the management of corporate and major gifts in a campaign setting along with the use of prospect research, data organization, and case statement development.
Experience in the analysis and interpretative skills for major gift fund-raising purposes including summary assessment with recommended actions steps for cultivation and solicitation of individuals, corp., foundations, associations, and societies, for volunteer service, major gift and pledge support.
Annual Fund Internship
Annual Fund Internship
Museum of Science, Boston
The Annual Giving Division, within the Advancement Department at the Museum of Science currently generates $2.8 million per year and has an average of 2,000 donors yearly. The Department uses a variety of fundraising techniques to raise new and repeat unrestricted operating revenue including solicitations via mail, phone, and email, as well as personal and volunteer solicitation efforts. The Annual Giving Department also implements cultivation and stewardship plans for its donors with an emphasis on the Explorer and Discoverer giving societies and its young professional group, the Innovators.
The Annual Fund Intern will assist the Annual Giving Division with a variety of projects that support efforts to renew, acquire, cultivate and steward Museum donors. Through helping with donor outreach efforts, event planning, research and other strategies, the intern will insight into the role that philanthropy plays in the Museum as well as a better understanding of fundraising as a whole.
Collaborate with the Annual Fund team and various Museum departments on a variety of projects including:
Organizing solicitation and invitation mailings.
Data preparation, analysis, and work within the department's fundraising database.
Drafting letters and newsletter articles.
Thanking donors for gifts through phone and email.
Help coordinating and contributing to Annual Fund events.
Interacting with Museum donors, partners and volunteers.
Provide general administrative support to the Annual Fund team.
Interest in fundraising and/or non-profit management.
Customer service experience as exhibited by strong communication and interpersonal skills
Comfort with all means of professional communication (face-to-face, email, phone, etc.)
Demonstrated ability to work on multiple projects while paying close attention to detail and accuracy.
Ability to work independently and within groups.
Prior experience working with computer programs including word processing, spreadsheet and database applications.
Experience with events, college phonathons or other volunteer fundraising programs.
Experience working with fundraising software such as Raiser's Edge, Millennium and/or Tessitura
LENGTH OF INTERNSHIP:
Summer 2018 May-June/August
20-28 hrs/week Monday through Friday. Some opportunities to work evening hours for events. Flexible schedule to fit around classes.
Intern benefits include free parking in the Museum garage, close proximity to the Green Line, free admission, discounts in the Museum store and café and much more!
The Museum of Science is fully committed to Equal Employment Opportunity and to attracting, retaining, developing and promoting the most qualified employees without regard to their race, gender, color, religion, sexual orientation, national origin, age, physical or mental disability, citizenship status, veteran status, or any other characteristic prohibited by federal, state or local law. We are dedicated to providing a work environment free from discrimination and harassment, and where employees are treated with respect and dignity.
No phone inquiries, please. Qualified applicants will be contacted within two to four weeks of initial application.
As the Controller for the discretionary closed end funds, there are key roles and responsibilities that are required to meet and exceed expectations that will be used to evaluate performance. These areas are outlined below. The Controller will supervise a team of 3-4 employees including an Accounting Manager and will report directly to the Investment Accounting Senior Controller.
In addition to the below responsibilities, the closed end funds are a critical investment portfolio for Investment Management and thus the individual in this role will need to be a self-starter, independent thinker, and able to collaborate with multiple departments. Experience with accounting for closed ended funds as well as extensive experience reviewing fund formation documents is required.
The financial reporting process is an integral part of Investment Accounting. The fund reports financials in accordance with US GAAP. The Controller’s responsibilities include; perform final review of the monthly, quarterly, and annual financial statements. The monthly, quarterly and annual financial statement review process should include reviewing the monthly reporting work-papers and reconciling accounts, performing a budget to actual variance analysis of the property financials, reviewing and verifying the quarterly waterfall calculations, reviewing the referenced and tied out consolidated financials, reviewing the tables and charts that will be included within the management discussion and analysis (“MD&A”), reviewing the MD&A supplied by the Portfolio Manager, and reviewing the compilation of the equity income pick-up to the Corporate Accounting team.
In addition, the Controller has ultimate responsibility for ensuring that he or she has reviewed the fund limited partnership agreement (LPA) and is well versed on the mechanics dictated by the LPA which impact, among other things, reporting, fee calculations, taxes, compliance, capital calls and distributions, and subsequent closings. In addition to the LPA, the Controller will be responsible for reviewing all Limited Partner side letter agreements for their impact on the above stated items. The Controller will be responsible for ensuring that every calculation or review completed by the team is in compliance with all agreements.
Through side letter agreements or ad hoc requests, investors may request reporting in addition to the quarterly financial statements and partner capital statements. This reporting is specifically tailored to the partner’s needs and is crucial in ensuring that we exude the highest standard of quality reporting in the eyes of our stakeholders. These requests may be a requirement of the agreement and ongoing requests or may come in the form of ad hoc requests from the investor. It is the Controller’s responsibility to work with the Manager to prepare and review these deliverables prior to being sent. Depending on level of complexity, it may be necessary to discuss these reports with the Senior Controller and Portfolio Manager prior to sending.
It is the Controller’s responsibility to work with the Manager and Portfolio Management team to analyze the cash position of the portfolios and use this knowledge to facilitate discussions with the Senior Controller and Portfolio Manager where necessary. The Manager should also collaborate with the staff in their daily cash management functions to manage cash needs of the fund, as well as review the Accounting Manager’s sources and uses files weekly and use this as a tool to perform the cash analysis.
The Controller will be responsible for ensuring that capital calls and distributions are planned appropriately to meet the needs of the fund and its investors. The Controller should review and approve contribution and distribution packets prepared by the team and ensure final notices have been sent to investors.
Investment acquisitions are a very sensitive and complicated process within the Investment Accounting group. During the closing, it is the Controller’s responsibility to be involved in reviewing the Purchase and Sale Agreement (PSA), settlement statement, and any other closing documents, allocating the closing/completion payment across entities when necessary, working with the team to prepare and deliver the closing capital call, and reviewing the opening entries for the property accounting team. During the closing process, it may be necessary to have meetings between Asset Management, Portfolio Management, and Investment Accounting. It is the Controller’s responsibility to keep the team informed as to timeline and deal specific information. It will also be important the Controller works with the Manager to document and support each step of this process in order to help facilitate with the audits.
It is the Controller’s responsibility to review and reference the PSA, settlement statement, and other closing documents, manage the wind down expenses, manage the disposition distribution to LPs (working alongside portfolio management as well as the tax department), manage the disposition true-up, and manage the entity shut down and preparation of all closing entries. It is the Controller’s responsibility to communicate with property accounting, portfolio management and tax to make sure all teams are on the same page as to treatment of the disposition proceeds. It will also be important the Controller works with the Manager to document and support each step of this process in order to help facilitate with the audits.
With regards to both Investment Acquisitions and Dispositions as well as additional investor commitments, the Controller will be responsible for ensuring that he or she has reviewed and understands any impact on structuring and flow of funds as required. In addition, tax implications may result in new structuring which will be critical to the economics of the fund. The Controller will need to work with tax and legal to understand and execute any steps required of the fund transactions.
Business Reporting and Fund Economics
As the primary point of contact for closed end fund financial reporting, the Controller will be responsible for providing the Corporate Investment Accounting team with annual 5 year business plans and reforecasts. The Controller will need to work with the Portfolio Manager to confirm future assumptions and provide analysis for deviations from expected results. In addition, the Controller will be responsible for ensuring that the team is staffed appropriately and discuss any staffing needs with the Senior Controller. The Controller will be responsible for ensuring that internal and external resources receive the information and training needed and that feedback is provided on a continual basis. The Controller will need to inform the Senior Controller promptly of any staffing issues or needs.
Senior Scala Developer- Highly Respected Hedge Fund R&D Unit
If you are a Scala Developer with interest in building a cloud based Hedge and VC firm investment analysis platform please send me a resume and read on!
Location: NYC, NY
Base Salary: $175k-$225k (Total Comp can get above 400k)
We are a top highly respected Hedge Fund in NY with a Venture Capital division in the Silicon Valley.
They have a few team members (expats from Google, Amazon, etc.) and are currently looking to bring in another Senior Scala developer to act as a member of the back end team.
So lots of challenge, creativity to build something completely disruptive and lots of opportunity to pick and choose technology and languages to your liking.
What You Need for this Position
What you need for this position:
Strong professional Scala, Java, C++ experience.
Experience with end web development for high transaction consumer facing website OR capital market experience (Not critical)
MySQL or PostgreSQL or other open source database technologies.
Bachelor's Degree in Computer Science
Nice to have
AngularJS or Backbone.js
Experience working in Finance industry or related
Top Reasons to Work with Us
Amazingly bright colleagues
You will report to one of the best Scala engineers in the US. He regularly talks at the biggest tech conferences in the world.
What You Will Be Doing
Work on a Web Based Investment Analysis Platform that is our pride and joy!
Create new features and work on some new side products
Because of our main investment product we are completely dominating our competition
What's In It for You
Opportunity to work for some of the very brightest the in New York and the Silicon Valley.
Very generous salaries with massive bonuses!
Opportunity to choose and work with cutting edge architectures and web services.
So, if you are a Talented Scala developer looking for a ground floor, challenging, highly creative opportunity, please apply today!
Applicants must be authorized to work in the U.S.
Senior Operations - Hedge Fund
For more information and consideration please call Matt Schmidt at or email Our client is a large hedge fund founded in 1972 with approximately $25B AUM is looking for its next leader. Working directly for the CFO, the Senior Operations Specialist will join a team that oversees all daily trade operations.
You will utilize your strong knowledge of the hedge fund industry to assist in the daily trade reconciliation.
You will utilize your valuation experience to assist CFO in valuing entire portfolio on a monthly basis and confirm that portfolio value aligns with third party fund administrator's information.
Leverage your strong organizational skills and attention to detail to ensure smooth settlement of all fixed income and OTC interments; including bank debt and credit default swaps.
Manage cash flow of entire firm and ensure proper attention is paid to exception reports generated on a daily basis. This is an incredibly rare opportunity to join a firm that truly prides itself on an open, collaborative and team-oriented work environment with a flat hierarchy. Additionally, there is clear opportunity to take on increasing levels of responsibility and grow within the firm. Finally, compared to other hedge funds you will be exposed to the most highly complex financial instruments, which will allow you to truly differentiate your skill-set from other operations professionals.
Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune magazine's list of "World's Most Admired Companies" since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.
Apply for this job now or contact our nearest office at for additional information.
All applicants applying for U.S. job openings must be authorized to work in the United States. Robert Half will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance.
2018 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans
Req ID: 00412-
Functional Role: Account Executive/Staffing Manager
City:* San Francisco
Postal Code:* 94111
Requirements:* -Bachelors degree in finance or related area
8+ years of experience in trade operations or fund accounting working for a third party fund administrator, hedge fund or investment firm.
Experience working with fixed income products
Sr. Specialist - Direct To Fund (1697-732)
Responsible for conducting the analysis and OSJ review and supervision of Classic direct mutual fund and direct investment advisory business to include the recommendations for suitability as well as the review and supervision of logs, blotters and general supervision.
Conduct the analysis and OSJ review of direct mutual fund and direct investment advisory recommendations by W&R's financial advisors.
Ensure financial advisor adherence to applicable Department of Labor and firm policy regarding recommended transactions.
Request supporting documentation, corrections or further suitability information from the financial advisor or field manager regarding transactions under review.
Respond to inquiries regarding direct business including submission of business, suitability, features of the products and their availability, etc.
Review exception reports, OBA requests, etc. for financial advisor sales activities to detect possible trends or irregularities and provide appropriate education to the financial advisor and/or disciplinary recommendations to management.
Work in partnership with other departments such as the Compliance Department, Client Services or outside fund companies regarding the review of direct business and in carrying out department initiatives, projects and agendas.
Assist in the creation, amendment and maintenance of department IOP's and WSP's.
Have a good level of mutual fund and investment advisory industry knowledge.
Stay abreast of changing industry rules and regulations.
College degree preferred and 2+ years of securities industry experience, preferably in compliance or field management/supervision; or combined relevant education and experience
Series 7, 24, 63
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