Specialized Consultant Junior
New York, NY
Prepares equity underwriting log and reviews allocation of equity deals. Prepares the quarterly equity IPO Forensic Review/Test. Prepares the affiliated trading reports and trade error metrics for the quarterly Board of Directors Meetings.
Responsibilities also include: Review Section 13G filings, review affiliated commissions against unaffiliated commissions, review annual mixed/shared funding checklists, quarterly review of 12d-1 Exemptive Orders, review monthly discretionary account c Ongoing adhoc requests.