Specialized Consultant Junior

New York, NY

Post Date: 04/11/2017 Job ID: 9693985 Industry: FIN Consulting
Primary areas of responsibility include reviewing Rule 10f-3, Rule 17a-7, Rule 17e-1, Agency Cross Trades, SWAP clearing trades, Principal trades, affiliated futures trades and OTC Derivatives for Brokerage Investment Management proprietary and third party sub-advised funds.

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.

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