Women Investment Professionals

Jobs

Current Positions Available

The following are employment listings received by the Women Investment Professionals for posting on this website. These jobs are posted for 30 days, and can be resubmitted for an additional 30 day posting, if desired. Currently, there is no charge for posting a job. You can submit a job to be posted by email to: info@wipchicago.org

The Group: The Morningstar Investment Management group consists of our investment advice, consulting, retirement-solutions, and index businesses. Through our registered investment advisor subsidiaries, we use our expertise in asset allocation, manager research, and portfolio construction to create innovative investment solutions for institutions, advisors, and their clients.

The Role: Morningstar Investment Management (MIM) seeks a Portfolio Administrator to join our investment operations team. The Portfolio Administrator will provide the highest quality investment and operations support for the Morningstar Managed Portfolios (MMP) program. This position reports to our senior operations manager and is based in our Chicago office.

Responsibilities

  • Support the operational and administrative functions associated with running our portfolios through a variety of distribution platforms.
  • Focus on the trading, reconciling, and maintaining of the accounts managed by MIM. The person in this role will be responsible for the full account trading life cycle of trading activity including but not limited to trade generation, routing and execution on a daily basis.
  • Respond to financial advisors and broker/dealer service inquiries including account setup, maintenance, and fee questions.
  • Develop and cultivate productive working relationships with financial advisors and their clients, custodians, vendors, and MIS teams and stakeholders.
  • Assist with providing service to other functions within MIM and contribute to the seamless operation of our MMP program.
  • Contribute at a high level on projects that improve and expand our portfolio management capabilities.

Requirements

  • Proficient in financial markets, portfolio administration, and the asset management industry.
  • 3-5 years relevant experience in financial services. Trading background is a plus.
  • Excellent attention to detail and accuracy; during market hours the person in this role must maintain a sharp focus during market hours, and minimize distractions.
  • Strong organizational, time management, and client service skills. Integrity is a must in this role.
  • Proven ability to research and resolve complex operational issues and offer suggestions to improve overall efficiency.
  • A bachelor’s degree; a concentration in finance or a related area is a plus.
  • Fiserv APL experience is a plus.
  • Advanced Excel training is a plus.

Candidates can apply via this link. https://morningstar.wd5.myworkdayjobs.com/en-US/Americas/job/Chicago/Portfolio-Administrator_REQ-014030-1

The Company

Mesirow Financial is an independent, employee-owned firm founded in 1937. As specialists in investment, risk management and advisory services, we are committed to helping our institutional, corporate, and individual clients achieve their objectives. We are proud of Mesirow’s culture of fostering team member engagement, entrepreneurship, and empowerment. Our positive culture, volunteerism, and opportunity for advancement makes Mesirow one of the few employers to be included in both Chicago Tribune’s Top Places to Work and Crain’s Best Places to Work in Chicago.

The Opportunity:

The successful candidate will be responsible for leading the day-to-day functions of the equity trading desk, including trade execution; collaboration with portfolio managers, analysts and trader to monitor positions and market activity; ensuring compliance with internal/external requirements; establishing and maintaining trading tools and resources; and providing internal/external reporting solutions.  In addition, they will work with the High Yield Fixed Income Team to support trade execution and allocation functions.  The ability to manage multiple and evolving priorities in a fast-paced environment while maintaining attention to detail is critical.  This individual will be ambitious and enthusiastic about taking on new challenges, providing solutions, and operating as an integral part of an entrepreneurial and innovative team.

Responsibilities:

  • Lead the day-to-day execution of portfolio and strategy level U.S. Small- and SMID-Cap transactions for the Equity Management Team using approved trading relationships and tools. Support the trading function for the High Yield Fixed Income Team.
  • Collaborate with Portfolio Managers, Analysts and Trader to optimize implementation of trading decisions utilizing appropriate discretion.
  • Monitor news, internal and external research, and market activity including issues related to market structure in order to formulate effective trading strategies, evaluate liquidity considerations, and assist analysts and portfolio managers in monitoring holdings.
  • Ensure that trading activity complies with internal and external policies/requirements including but not limited to client investment and brokerage guidelines, best execution, SEC and ERISA.
  • Manage commission budgeting, brokerage allocation and trading cost analysis responsibilities including development, maintenance and provision of internal and client facing reports.
  • Manage the firm’s relationship with SEI Investments Middle Office team relative to the provision of trading and settlements technology and support. Serve as escalation contact for resolution of trade-related issues.
  • Evaluate and monitor the capabilities and performance of brokers/trading partners to ensure adherence to execution quality and service standards.
  • Ensure that applications and tools utilized by the trading function fulfill proficiency, scalability and efficiency needs.
  • Collaborate with other functions and internal support teams to provide exceptional service to internal and external clients.
  • Perform special projects and other duties as necessary to support the trading function and the firm.

 Requirements:

  • Minimum 7-10 years institutional equity trading experience for a “Buy Side” firm, with experience trading in non-US markets and other asset classes (fixed income, currencies, options) appreciated.
  • Bachelors’ degree in Finance, Computer Science, Statistics or related field; CFA/MBA preferred.
  • Thorough understanding of market structure, regulatory requirements, and trading related compliance considerations.
  • Superior proficiency with Bloomberg Professional, Bloomberg EMSX, algorithmic and DMA trading platforms, dark pools, order management systems (Moxy / AIM OMS helpful), and Excel.
  • Strong oral and written communication skills including the ability to present detailed information cohesively and cogently to internal and external stakeholders.
  • Ability to manage multiple priorities within a fast-paced and evolving environment while maintaining thorough attention to detail.
  • Strong organizational and time management skills; ability to work independently and manage multiple project-oriented tasks in an effective and timely manner.
  • Team player with a positive attitude and strong interpersonal skills.
  • Self-starter with a strong work ethic and the highest integrity and ethical standards.

Apply Online

 

 

The Company

Mesirow Financial is an independent, employee-owned firm founded in 1937. As specialists in investment, risk management and advisory services, we are committed to helping our institutional, corporate, and individual clients achieve their objectives. We are proud of Mesirow’s culture of fostering team member engagement, entrepreneurship, and empowerment. Our positive culture, volunteerism, and opportunity for advancement makes Mesirow one of the few employers to be included in both Chicago Tribune’s Top Places to Work and Crain’s Best Places to Work in Chicago.

Our Institutional Sales and Trading group is comprised of over 100 dedicated traders, salespeople and analysts highly specialized in a variety of sectors of the fixed income market. We provide institutional investors with enhanced market coverage through national sales and trading locations in Chicago, New York, Boston, Los Angeles, Miami, Boca Raton and San Antonio. Recognized nationally as one of the nations’ most established and experienced participants in the fixed income markets with annual secondary trading volume of more than $35 billion and average daily trading positions of approximately $600 million.

The Opportunity

We are looking for a dynamic, entrepreneurial Institutional Fixed Income Salesperson to join our team in Miami.  The ideal candidate will have a proven track record and deep, sustainable relationships with industry participants (i.e. money managers, insurance companies and depositories). This key hire will possess excellent client presentation and communication skills combined with self-motivation, excellent business development acumen and an ability to thrive in a fast-paced, constantly changing and unobstructed environment. 

Requirements:

  • Bachelor’s degree.
  • A minimum of 5 years’ experience within structured finance, mortgages and ABS.
  • Series 7 & 63 licenses.
  • Good working knowledge of Excel, Bloomberg and Intex.
  • Self-starter with a strong work ethic.
  • Successful performance record of consistently generating and exceeding revenue targets.

Apply Online

 

The Group: The Morningstar Investment Management (“MIM”) group consists of our investment advice, multi asset investment portfolios and sub-advisory investment products businesses. Through our registered investment advisor subsidiaries, we use our expertise in asset allocation, risk management and portfolio construction to create innovative investment solutions for institutions, advisors, and their clients. Morningstar is an equal opportunity employer.

The Role: The Investment Management group seeks an Operations Analyst. As an operations team lead you will be responsible for executing operations work across the organization, with a focus on creating a highly collaborative culture of accountability, accuracy, efficiency, measurement, and transparency.  As a team member, you will work with the team Manager to coordinate and oversee team projects, workflow maintenance and development, and training and development initiatives.

This position is based in our Chicago office.

Responsibilities

  • Support and execute operations processes in support of the Morningstar Managed Portfolios (SM) service and Global Operations initiative including:
    o    Account Maintenance
    o    Monthly and Quarterly Production
    o    Account Statements
    o    Asset Reporting
    o    Workflow Implementation and Improvement
    •    Drive process automation through robotic process automation (RPA)
    •    Monitor and report on key performance indicators (KPIs)
    •    Collaborate with team Manager on strategic initiatives, team roadmap and business planning, and innovative ideas for service delivery and standards
    •    Collaborate with and coordinate work across other functional areas in Investment Management
    •    Maintain exemplary working relationships with custodians, vendor partners, home offices, and advisors

Requirements
•    6+ years’ experience in investment operations roles, Custodian and TAMP subject matter expertise is a plus
•    A self-starter with excellent leadership, communication, organization, time management, and interpersonal skills
•    Strong organizational and problem-solving skills along with excellent attention to detail and accuracy; the highest ethical standards are expected in this role
•    Ability to pull back from daily tasks to assess processes and workflows and identify areas of improvement
•    Experience with LEAN principles and business process diagramming standards.
•    A bachelor’s degree is required; an advanced degree is a plus
•    FINRA Series 65 or Series 99 qualifications are considered a plus

Apply Online or send email to Nichole Graveen

The Group: The Investment Management group consists of our investment advice and investment management capabilities. Through our registered investment advisor subsidiaries, we use our expertise in asset allocation, manager research, and portfolio construction to create innovative investment solutions for institutions, advisors, and their clients. Everything we do is driven by our independent view, long-term investment approach and desire to always put investors first. 
 
The Role: Morningstar’s Investment Management group is seeking an outstanding operations manager to join our fund operations team. We are looking for an assertive, detail-oriented, self-starter who can work effectively in a highly collaborative team setting. In this role you will support the day-to-day operations of the Morningstar Funds Trust nine mutual funds. The ideal candidate has excellent organization and time management skills, the ability to multi-task in a dynamic and rapidly changing environment, be proficient in running projects, and thrive in documenting, implementing, and improving processes. This position is based in our Chicago office.   

Key Responsibilities:
•    Support all aspects of daily Fund operations through partnership with service providers, subadvisers and functional areas within Morningstar, including but not limited to investment management, legal and compliance, technology, product, and trading.
•    Manage day-to-day relationships with subadvisers, brokerage custodians and the funds’ service providers including, but not limited to fund administration, custody, transfer agency, and prime brokerage.
•    Work with brokerage custodians to establish and maintain our funds on their platforms.
•    Manage daily cash flow allocation processing, pre- and post-trade execution processing as well as cash and position reconciliation.
•    Provide oversight over domestic and international trade settlements, fund liquidity, margin balance review and other daily reporting obligations.
•    Review and monitor daily asset coverage testing, monthly commission reports, quarterly derivatives exposure and other reports as required.
•    Liaise with the valuation committee and the fund administration team to resolve all asset pricing issues within the funds.
•    Implement and manage the process for fund rebalances and reallocations.
•    Engage with compliance to ensure pre-and post-trade mandate compliance. 
•    Develop and uphold fund operations policies and procedures.
•    Drive the development of the funds’ systems and infrastructure, product implementation, process and system upgrades, service provider improvements, knowledge sharing, and other project work as needed

Requirements:
•    At least seven years of relevant experience in operations
•    Bachelor’s degree required preferably in business, finance or related major
•    Knowledge of industry rules and regulations, especially the Investment Company Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934 is desirable
•    Proficiency with the Microsoft Office suite of applications

Apply Online or email Nichole Graveen

The Group: The Morningstar Investment Management group (MIM) is a global team guided by Morningstar’s investment principles to deliver great long-term investment results and help investors reach their financial goals. We use our expertise in asset allocation, investment selection, and portfolio construction to create world-class investment strategies built on Morningstar’s research. The group specializes in multi-asset investing, using building blocks in equities, fixed-income, and alternative investments to construct robust portfolios. Through our investment offerings, we support financial advisors, institutions, and the investors they serve.

The Role: Our Client Services team is seeking a Customer Support Manager to manage our Institutional, Advisor and Retail clients. The team provides a central point of contact for external customers to coordinate support queries in relation to various Morningstar platforms and services. The Customer Support Manager will lead process improvement initiatives, demonstrating and promoting strong client advocacy. The role will be based in our Chicago office.

Responsibilities:

  • Champions our Client Service culture of performance, employee development and process improvement.
  • Manages day-to-day operations for Morningstar’s Client Support teams, ensuring services standards are attained and Client Support SLA’s are met.
  • Collaborates with Morningstar’s investment operations, development, sales and product teams to resolve client issues in a timely manner. Acting as the third point of contact for all escalated issues and applies a professional, timely, and proactive approach to client communication.
  • Works with remote teams globally to ensure consistently high service is delivered to our clients.
  • Partners with Training and Education to evolve and enhance advisor and support team trainings and use of platform tools.
  • Collaborates with product, marketing sales teams on new client implementations and the management of existing client renewals and retention.
  • Provides reporting on client feedback and resolution times both externally to clients and internally to management, sales, data and the product group.
  • Manages the support relationship with larger clients including providing reporting on feedback and SLAs; and periodic meetings as required.
  • Partners with leadership and Client Support Team Leads to develop and monitor policies and procedures, training programs, operating structure, information flow, etc. to foster ideas on how to improve client support processes and lead any associated change implementations.
  • Provides idea on product enhancements based on client interaction.

Requirements:

  • Strong communication and presentation skills both written and oral, with the ability to interact with clients who have sophisticated investment knowledge.
  • Proactive aptitude to build effective client relationships including the ability to anticipate client needs and be responsive.
  • Knowledge & experience with advisor workflows and custodian/broker relationships required.
  • Ability to thrive in metric driven environment.
  • Proven ability to perform in a demanding environment together with a flexible attitude.
  • Knowledge of client management process and ability to implement process improvements where required.
  • Ability to build, manage and provide mentorship to entry level employees.
  • Bachelors’ degree or equivalent preferably in business, finance or related majors.
  • A minimum of 5-8 years of experience within the finance/investment industry including a strong understanding of the institutional investment market.
  • 3-5 years of front-line client service experience required.
  • 1-2 years of people management experience.
  • Understanding and previous use of Morningstar products is beneficial.

Apply online or send email to Nichole Graveen.

The Firm
BentallGreenOak is a leading, global real estate investment manager with US$48 billion of assets under management as of September 30, 2019. The Firm’s products include core, core-plus and value add private real estate offered through open-end and closed-end vehicles. The firm has offices in 24 cities across twelve countries and three continents. BentallGreenOak is a part of SLC Management, the institutional asset management business of Sun Life.
The Role
The Associate will be an integral part of the Capital Raising and Investor Relations team, servicing a global institutional client base and assisting with business development efforts. The Candidate will be a self starter, work well with others, be able to multi task efficiently, communicate effectively and have a strong ability to follow tasks through to completion.
Position Responsibilities:

  • Serve as lead for multiple concurrent deliverables for clients and consultants including data requests, database submissions and other ad hoc requests. Coordinate internally and follow-up to ensure requests are completed in timely manner
  • Complete Due Diligence Questionnaires (DDQs), Requests for Proposal (RFPs) and Requests for Information (RFIs); draft language as needed
  • Maintain and update investor contact information and distribution lists, track investor lists and investor activity within Salesforce, coordinate updates with various external fund administrators
  • Effectively distribute all reporting documents including drawdown notices, distribution notices, quarterly reporting and tax reporting
  • Maintain global finance reporting calendar as it corresponds to investor deliverables
  • Effectively manage time, exhibit flexibility and ability to multitask and shift priorities as needed • Collaborate with members of the investor relations, marketing, investment, compliance, human resources, legal and accounting teams to ensure content is complete, accurate and timely
  • Develop, maintain, and demonstrate an in-depth understanding of private equity real estate and the Firm’s products

Essential Qualifications

  • Computer proficiency with Excel, Word, and PowerPoint is required 
  • Strong project management and organizational skills, adept at multi-tasking and time management, anticipates next steps 
  • Strong communication skills, both written and verbal
  • Highly organized and able to track multiple work streams concurrently
  • Highly analytical, skilled at problem solving and decision-making. High level of selfmotivation, a quick learner who is resourceful and adapts well to change
  • Ability to work independently as well as with a team. Comfortable working across the organization with all levels of management
  • Comfortable working under pressure and must have the ability to work overtime or weekend hours when required to meet deadlines
  • Knowledge of private equity real estate would be an advantage

Education and Experience

• Bachelor’s degree
• Minimum of three years of directly relevant experience with an investment management firm
Interested candidates should send their resume and a cover letter to HRUS@bentallgreenoak.com

The Company:

Mesirow Financial is an independent, employee-owned firm founded in 1937. As specialists in investment, risk management and advisory services, we are committed to helping our institutional, corporate, and individual clients achieve their objectives. We are proud of Mesirow’s culture of fostering team member engagement, entrepreneurship, and empowerment. Our positive culture, volunteerism, and opportunity for advancement makes Mesirow one of the few employers to be included in both Chicago Tribune’s Top Places to Work and Crain’s Best Places to Work in Chicago.

The Opportunity:

As a key member of the Mesirow Financial Credit Tenant Lease Finance and Structured Debt Products team, you will have the opportunity to work in a truly independent, entrepreneurial and innovative environment, alongside industry leading experts. Our team of professionals arrange and structure long-term financing for real estate owners and developers. In addition, we also invest in deals in certain situations. Our proven experience, unique distribution capacity, diverse perspectives and turnkey approach provide our clients with a distinct advantage in the Credit Tenant Lease Finance and Structured Debt Products marketplace.   

Key Responsibilities:

  • Act as a key point of contact with internal and external counterparties including trustees, legal counsel and other third -party service providers with respect to the servicing of loans and resolution of issues.
  • Demonstrate a strong working knowledge and the ability to ensure full operational compliance with respect to the terms of credit agreements and other governing document information.
  • Research, review and organize trade settlement documents and prioritize trades per settlement deadlines for all new deals.
  • Responsible for the accurate collection and disbursement of all deal related fees and reoccurring payments (preparation of monthly billing statements).
  • Maintain current and accurate loan servicing information and ensure all information is accurate and up to date.
  • Perform all duties and assigned and ensure strict confidentiality of all financial and confidential records.

Basic Qualifications:

  • Bachelor’s degree in finance, accounting, business, or economics or equivalent.
  • 2+ years of operations experience pertaining to loan trade settlement or servicing of commercial real estate loans (highly preferred).
  • Deadline-driven and highly organized with exceptional attention to detail.
  • Highly proficient across MS Office Suite of products.
  • Strong professional communication and inter-personal skills combined with the ability to succinctly express complex ideas both orally and in writing.
  • Exceptional attention to detail with the ability to multi-task, work successfully under pressure, prioritizes tasks, react to changes and solve critical issues.
  • Work independently and within a team to build relationships and interact effectively with business. 
  • Responsive, proactive, professional and collaborative communication approach. 

Apply Online

The Company

Mesirow Financial is an independent, employee-owned firm founded in 1937. As specialists in investment, risk management and advisory services, we are committed to helping our institutional, corporate, and individual clients achieve their objectives. We are proud of Mesirow’s culture of fostering team member engagement, entrepreneurship, and empowerment. Our positive culture, volunteerism, and opportunity for advancement makes Mesirow one of the few employers to be included in both Chicago Tribune’s Top Places to Work and Crain’s Best Places to Work in Chicago.

The Opportunity:

The successful candidate will be responsible for supporting the deal team in its’ business of structuring leveraged municipal Tender Option Bond transactions for institutional investors. Mesirow serves as Administrator on approximately 800 TOB trusts containing assets of $10bn  As a result of the Volcker Rule, Mesirow has built a successful business structuring TOB trusts as well as administering them on an ongoing basis. The environment is fast paced, requiring the ability to prioritize tasks as well as managing detail.

Responsibilities:

  • They will work with two senior members of the group to structure trusts, obtain ratings, hire counsel, liquidity providers, re-marketing agents, obtain CUSIP and DTC eligibility as well as structure trusts on the firm’s proprietary systems and calculate cash flows of the respective trusts.
  • There will be direct contact with the municipal sales and trading desks to coordinate trade entry and settlements.
  • Working with investor clients on trade settlements, cash flows, establishing and unwinding trusts, fulfilling data requests, and monitoring the portfolio.

 Requirements:

  • Bachelor’s degree in Finance or Accounting
  • Strong Excel skills.
  • Ability to manage multiple priorities within a fast-paced and evolving environment while maintaining thorough attention to detail.
  • Strong written and verbal communications skills.
  • Team player with a positive attitude and strong interpersonal skills.
  • Prior relevant work experience preferred.

Apply Online

What is the opportunity?

RBC Global Asset Management’s Chicago-based equity team managing over $3.0 billion of domestic growth equities in both institutional accounts and mutual funds is seeking an Associate Portfolio Manager or Senior Equity Analyst (will determine based on experience) to join our team.  The position will entail generalist sector coverage to support our Small Cap Growth, SMID Cap Growth and Mid Cap Growth equity strategies.

What will you do?

  • Research:  Analyze and identify high quality small and mid-sized growth stocks as new investment ideas for long-term capital appreciation using a bottom-up fundamental process combined with a conservative growth philosophy.  Provide continuous maintenance coverage on existing portfolio holdings.   
  • Portfolio Management:  Collaborate with other team members and take advantage of our rigorous approach to portfolio risk management to recommend buy and sell ideas for the client portfolios.  Assess individual security risk and prospective drivers of security outperformance, portfolio sector and industry weightings, liquidity constraints and overall portfolio characteristics.    
  • Communications:  Use your natural collaborative skills to represent the team in presentations and client review meetings.  Provide verbal and written reports as needed to clients, consultants, prospects, and internal client service personnel, including investment results, portfolio attribution and macroeconomic outlook. 
  • Marketing:  Participate in new business development by presenting the Small Cap Growth, SMID Cap Growth and Mid Cap Growth investment philosophy and process either individually or along with other members of the investment team.  Provide marketing support to our distribution and consultant relations teams.
  • Other: Have the drive and desire to maintain investment excellence and respond to client needs in a timely manner

What do you need to succeed?

  • 5+ years of investment experience, preferably including experience in researching small to mid-sized growth stocks in a wide variety of sectors and industries and
  • Bachelor’s degree in business or a related field. CPA or CFA designation strongly preferred.
  • Familiarity with research tools such as FactSet, William O’Neill and ThomsonOne.
  • Highly developed analytical, quantitative, communication, presentation, organizational and interpersonal skills.
  • Self-motivation with the ability to learn continuously and work both independently and in a small team environment.

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • Client First: We will always earn the right to be our clients’ first choice
  • Collaboration: We win as One RBC
  • Accountability: We take ownership for personal and collective high performance
  • Diversity & Inclusion: We embrace diversity for innovation and growth
  • Integrity: We hold ourselves to the highest standards to build trust

Apply Online

About the Firm
Founded in 2009, Penserra Securities LLC is an institutional financial services firm with offices located in New York, Chicago, and the San Francisco Bay Area. Services include Global Equity Trading, Fixed Income Trading, Investment Banking, ETF Sub-Advising, Transition Management and Equity Research. Penserra is a certified Minority-Owned Business Enterprise (MBE).
Functional Title: Junior Salesperson
Job Type: Entry Level
Corporate Title: Associate
Location: Orinda, CA
Assignment: Full Time (Permanent)
Qualifications:
• 0-1 years of business operations experience, preferably in the Finance industry
• Must have good problem-solving and critical thinking skills
• Ability to work independently and collaboratively
• Ability to multitask and manage deadlines
• Ability to work efficiently with the utmost attention to detail
• Outgoing and engaging personality
• Strong communication skills both written and verbal
• Proficient knowledge of PowerPoint and Excel with a solid overall aptitude with learning technology and systems
• Series 7 FINRA Exam after 4 months
Responsibilities:
• Assist Sales Team with identifying and contacting potential clients
• Produce, review, and distribute updated marketing material for sale team
• Help develop and launch sales campaigns
• Help maintain accurate client records in CRM
• Relationship management of current clients
• Assist in completing of RFPs, RFIs and questionnaires for current and potential clients
• Maintain and help monitor revenue documents for sales team
• Additional sales responsibilities in region over time
Schedule/Location:
• Orinda, CA
• 6am-2pm
Penserra is an equal opportunity employer. It complies with all laws and regulations that prohibit discrimination in employment
practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from the military service or based on a physical or mental disability that is unrelated to the employee’s ability to perform the duties of the job applied for.
Penserra Securities LLC  4 Orinda Way, Suite 100-A  Orinda, California 94563
Job Type: Entry Level, Full-time
Required Education:
• Bachelor’s Degree – Focus on Business

The Delegated Client Service Associate will be responsible for supporting the management of the client experience and delivery of customized OCIO/Delegated Investment solutions. You will support the management of your clients including proactive and reactive communications, insightful reports and meeting prep and follow-up. You will support the Client Lead in coordinating with other internal resources including Investment Strategist, Actuary, Portfolio Management and Implementation teams. As you progress in the role you will be positioned as the secondary (back-up) contact at WTW for assigned clients. This could include attending client meetings with or without the client lead.

Note that visa employment-based non-immigrant visa sponsorship and/or assistance is not offered for this specific job opportunity.

Link to role on career site: https://careers.willistowerswatson.com/job/10381835/delegated-client-service-associate-chicago-il/

The Role 

  • Work as part of dedicated client team providing high quality delegated services to clients
  • Implement service plan for assigned clients in coordination with the client lead
  • Increase efficiency within client teams by identifying ways to improve processes
  • Coordinate portfolio and regular quarterly updates with members of PMG and client service leadership
  • Build effective working relationships with clients and colleagues at all levels and collaborate effectively on cross-functional teams
  • Accountable for the quality, consistency and timeliness of investment work product prepared for clients with guidance from Client Leads
  • Accountable for ongoing project management including early and clear communication and coordination with Client Leads and other team members, as appropriate
  • Assisting with documentation of client interactions and fiduciary decisions
  • Producing work in accordance with Professional Excellence requirements
  • Complete project deliverables through effective resource utilization
  • Ensure timely and accurate completion of time recording
  • Actively participate to help build relationships with both internal and external clients
  • Support the generation of new business as part of the broader team

The Requirements

  • Undergraduate degree required. Progress towards a CFA or MBA a plus.
  • At least three to five years of experience working with institutional investments
  • Excellent oral and written communication skills
  • Strong analytical skills with a logical and thorough work ethic
  • Strong time management and project management skills

EOE, including disability/vets

Associate

Title, specific responsibilities and compensation for this position will be commensurate with level of experience and firm needs. This opportunity will allow the right candidate to quickly develop a broad skillset and materially expand their responsibilities within Navitas over time.

An exciting position for a self-starter, the Associate will support Navitas in all phases of the investment process, including sourcing, underwriting, and monitoring the firm’s investments. They will also prepare investment memos and due diligence reports. Requiring both quantitative and qualitative skills, the Associate will produce leading market research and industry landscapes to support the firm’s investment themes and its partner’s market intelligence needs. There will be opportunities to work with our limited partners and portfolio companies, making the ability to develop and maintain relationships based on responsiveness, trust and creativity vital to their development at the firm.

Responsibilities:

  • Maintain and develop networks in the real estate technology space to source and conduct due diligence on new investment opportunities
  • Analyze company business plans and financial data during due diligence
  • Prepare comprehensive and concise written materials, including investment memoranda and investor reporting
  • Prepare market landscape reports to support the firm’s investment themes and provide market intelligence to our partners

Who We’re Looking For:

  • Demonstrated ability to work in a high-performance team-based work environment
  • Able to build relationships founded on integrity, professionalism and trust
  • Strong verbal and written communication skills
  • Strong financial modeling skills (e.g. Excel, Argus, Alteryx)
  • 2-3 years of relevant work experience
  • Experience sourcing deals and conducting due diligence on early-stage technology companies preferred
  • Venture capital, private equity, management consulting, investment banking, real estate or similar experience a plus

Compensation & Benefits:

Base salary + performance-based bonus

Generous healthcare and other benefits

Location: Los Angeles, CA

If interested, please email resume and cover letter to jobs@navitascap.com.

Associate or Principal Position

Title, specific responsibilities and compensation for this position will be commensurate with level of experience and firm needs. This opportunity will allow the right candidate to quickly develop a broad skillset and materially expand their responsibilities within Navitas.

This role is a unique opportunity for someone who has experience in “client-facing” roles and a management consulting skillset looking to transition to venture capital and/or a long-term client-based environment.

The Principal will engage with our investors to understand their priorities and opportunities to gain advantage from adoption of new technologies and innovations as well as working with portfolio companies to help support their business through our knowledge and network. This role will also be an active participant in the investment process and will be responsible for mapping and tracking the real estate technology landscape for both market intelligence and investment purposes.

​Responsibilities:

  • Serve as a primary point of contact for senior investor and portfolio company management teams
  • Develop and nurture long term, trusting relationships with key Navitas stakeholders
  • Support the deal review and investment process
  • Utilize a hypothesis-driven approach to deliver industry-level insights
  • Prepare detailed, thorough and concise materials for internal and partner use

Who We’re Looking For:

  • Demonstrated ability to work in a high-performance team-based work environment
  • Self-starter with a strong aptitude for learning and personal/professional growth
  • Able to build relationships founded on integrity, professionalism and trust
  • Highly developed qualitative and quantitative analytic skills married with the ability to identify salient issues, formulate and execute a hypothesis-driven approach, and propose alternative solutions
  • Strong verbal and written communication skills
  • 3+ years of work experience in management consulting (preferred), venture capital/private equity or other relevant areas
  • Bachelor’s degree required, MBA or comparable work experience preferred
  • Willingness to travel 25% of time

Compensation & Benefits:

Base Salary + performance-based bonus

Generous healthcare and other benefits

Location: Chicago, IL

If interested, please email resume and cover letter to jobs@navitascap.com.

The Opportunity

Mesirow Financial is an independent, employee-owned, diversified financial services firm, headquartered in Chicago and founded in 1937.  As specialists in investment, risk management and advisory services, we are committed to helping institutional, corporate, and individual clients achieve their objectives. Our professionals are inspired by an entrepreneurial desire to develop tailored solutions that deliver measurable results.

Mesirow Wealth Advisors is part of Mesirow Financial. Mesirow Wealth Advisors understands the challenges and pressures that individuals and families face when trying to manage their personal wealth, throughout the many stages and events of a lifetime. We partner with them to understand goals, and then together we develop a plan to accumulate, grow, protect and distribute their wealth as planned. We are seeking a highly-motivated Wealth Specialist in our Highland Park office to provide financial planning and technical support to clientele.

Responsibilities

  • Develop an understanding of Mesirow Wealth Advisors investment strategy and familiarity with fund managers used to execute that strategy
  • Analyze financial information obtained from clients to determine strategies for meeting clients’ financial objectives
  • Working closely with advisors, implement comprehensive financial planning solutions (including asset management, estate planning and risk management)
  • Prepare cash flow, retirement planning and other financial planning reports that are consistent amongst the Mesirow Wealth Advisory teams
  • Prepare for client meetings and conduct the necessary follow-up to client meetings
  • Perform securities transactions upon obtaining appropriate licensing
  • Address client needs through incoming phone calls and emails; determining when it is appropriate to elevate any issue or request to an advisor or team leaders
  • Maintain and update appropriate due diligence files on securities
  • Act as the client technology liaison (e.g., assist client’s in utilizing their online portal)
  • Participate in Wealth Specialist Committee to collaborate and create a menu/library of services and tools for Mesirow Wealth Advisory teams
  • Assist the Client Service Manager as needed to perform administrative tasks and to act as back up to the CSM when necessary
  • Meet with existing professional network to expand capabilities
  • Perform other responsibilities and special projects as assigned

 Requirements

  • Strong academic background with a Bachelor’s degree in Finance or similar major
  • Series 7 & Series 66 (or 63/65) Licensed or able to obtain within three months
  • CFP® certified or successfully complete CFP® certification within 12 months of start date
  • Become fully proficient in using Black Diamond performance reporting, Salesforce, Microsoft Office Suite, Zephyr Analytics, Wealthscape, eMoney, and additional software tools as needed
  • Mid/advanced skill level of Microsoft Excel (data entry, formula manipulation, layout/design)
  • Exceptional organization, research and time management skills, and attention to detail
  • Strong professional communication skills, both written and verbal
  • Effective project management skills
  • Highly motivated self-starter with a strong work ethic, positive “can-do” attitude who is energized by the process of identifying prospective clients and closing new business
  • Ability to work in a team environment
  • Strong desire for business development; has contacts and networking capability

Apply Online

Senior Consultant, Client Solutions – Front Office Solutions 

Front Office Solutions is a new strategic business for Northern Trust that provides a holistic digital+ service offering for some of the most sophisticated institutional investors across the globe, including foundations, endowments, pension funds, corporations, insurance companies, central banks and sovereign wealth funds. As asset owners engage in more complex, data-driven investment approaches to asset allocation, their operational needs and demands for high quality data have skyrocketed. Front Office Solutions provides a holistic, full-service, multi-asset solution that aims to empower in-house investment teams and support their important mission by providing a more comprehensive set of operational services and analytics including portfolio management, investment decision support, operational risk management, CRM/document management and workflow tools.  

The Senior Consultant will be responsible for investment data administration and oversight of individuals that will provide clients with the holistic data sets they need to fulfill their various stakeholder requirements as well as researching and identifying solutions for data challenges for institutional clients.  

PRIMARY DUTIES 

  • Serves as daily point of contact for advanced / escalation of client service needs. 
    • Responsible for interpreting, reviewing and resolving ad hoc client requests.  
  • Works with client’s operational staff on discovery, problem resolution, workflow management.  
  • Acts as first point of escalation for daily / monthly performance issues as raised by junior team members.  
  • Acts as a final reviewer and approver for month-end client cycle. Includes: 
    • Validating statement-based valuations 
    • Delivery of all client data analysis and reporting, inclusive of: 
      • Accounting 
      • Exposures 
      • Performance 
    • Hosting monthly client sign off meeting to review all data and performance results with client. 
  • Provides final review and sign off on client output including NAV, allocation and underlying client performance  
  • Leads new client onboarding 
  • Participates in initial client discovery sessions, assists in project planning, setting client expectations and facilitating continuous client updates throughout the onboarding process. 
  • Responsible for the review of all historic data entry and reconciliations during client onboarding. 
  • Creates client service level descriptions (SLDs) and any associated client negotiations. 
  • Responsible for management of team and tasks to meet continuous client deadlines and milestones during onboarding process. 
  • Responsible for adherence to client service level deliverables as documented in the respective SLDs. 
  • Responsible for detailed management of client investment data: 
    • Investment transactions (typically statement based for alternative assets; file based for public markets) 
    • Investment valuations (typically statement based for alternative assets; file based for public markets) 
    • Cost basis analysis, cash movement, pricing, gain and loss analysis, account and position reconciliation 
    • Alternative investment manager estimates 
    • Plan income / expense items 
    • Plan contributions / spending withdrawals 
    • Underlying manager exposure data 
    • Benchmark data 
    • Alternative investment performance data 
  • Responsible for oversight of all investment reconciliations, including reconciliation of cash, positions, performance, transactions, alternative investment metrics (unfunded commitments, etc.) 
  • Responsible for oversight of NAV, allocation and underlying client performance for alternative investments • Analyzes and communicates output from attribution models to clients  
  • Analyzes and communicates Public Market Equivalent (PME) output to clients 
  • Serves as a resource for toolset’s liquidity analysis and portfolio planning capabilities supporting the institutional asset owner clients.  
  • Creates materials and conducts ongoing training activities for clients and new FOS team members, supporting full service clients and software-only clients 
    • Creates training materials and leads training sessions on daily operational activities as well as system capabilities 
  • Participates in ongoing process improvement discussions where feasible including: 
    • Third party vendor sourcing 
    • Process improvement through technical skills 
    • Ongoing Front Office Solutions program build (fee billing, legal contracts, training, etc.)

REQUIRED KNOWLEDGE & SKILLS

  • Experience working with complex asset owners including Endowments, Foundations, Family Offices, OCIOs, Pension Funds, Sovereign Wealth Funds, and institutional asset managers.  
  • Strong understanding of institutional investment industry, including markets, instruments, funds and fund structures, trading, etc. 
    • Deep knowledge of alternative assets and related operational processes (hedge funds, private equity). Demonstrated understanding of private equity transactional impacts on unfunded commitments, market value, cost, and other metrics typically associated with private equity (TVPI, DPI, PIC, etc.).  
  • Experience managing an investment operations team. 
  • Deep understanding of investment operational processes, transactional impacts, cash movement, accruals, and valuation methodologies.  
  • Deep understanding of accounting/reporting methods, including IBOR, ABOR, TrueNav, to support complete and accurate data capture. 
  • Knowledge of performance measurement concepts and standards including GIPS Standards.  
  • Understanding of benchmarks and benchmark calculations across multiple asset classes as well as an understanding of the benchmark provider industry; understanding of blended benchmarks and custom benchmarks and data management nuances. 
  • Prior experience with multi-asset class portfolio management software.  
  • Advanced understanding of Microsoft Suite (Excel, Word, PowerPoint, Visio), with particular emphasis on Excel.  
  • Experienced in operational process improvement. 
  • Client servicing and relationship management experience; high level of comfort communicating directly with clients and client advocacy.  
  • Must be able to work closely and collaborate with internal stakeholders. 
  • Ability to prioritize, multi-task, and perform effectively under deadlines. 
  • Ability to handle multiple concurrent projects and to reconcile any conflicting priorities.  
  • Commitment to project success as it may require working unconventional hours during critical project phases. 

PREFERRED KNOWLEDGE & SKILLS 

  • Experience using VBA, Python or other programming language to format large data sets 

QUALIFICATIONS 

  • A College or University degree 
  • Minimum of 7 years of institutional investment industry experience in the following fields: 
    • Performance Measurement & Investment Data Analytics (attribution, liquidity, and exposures) 
    • Alternative asset operations 
    • Investment Operations (analytics, reporting, fund or investment accounting) 
    • Fund accounting 
    • Financial reporting 
    • Accounting 
    • Investment account data reconciliation – accounting and performance 
  • Completion (or progress towards) of advanced credentials (CFA, CAIA, CPA, MBA) preferred.  
  • A genuine desire and capability to work in a fast-paced, professional, inclusive environment which requires teamwork, well-honed problem-solving skills, frequent re-prioritization, deadline management, ongoing and comprehensive communication, constant attention to detail, and a commitment to continuous improvement and best practices.

Apply Online

Consultant, Alternative Investment Client Solutions – Front Office Solutions

Front Office Solutions is a new strategic business for Northern Trust that provides a holistic digital+ service offering for some of the most sophisticated institutional investors across the globe, including foundations, endowments, pension funds, corporations, insurance companies, central banks and sovereign wealth funds.  As asset owners engage in more complex, data-driven investment approaches to asset allocation, their operational needs and demands for high quality data have skyrocketed.  Front Office Solutions provides a holistic, full-service, multi-asset solution that aims to empower in-house investment teams and support their important mission by providing a more comprehensive set of operational services and analytics including portfolio management, investment decision support, operational risk management, CRM/document management and workflow tools.  

Under general supervision (but works independently most of the time) the consultant will be responsible for investment data administration that will provide clients with the holistic data sets they need to fulfill their various stakeholder requirements.  Researching and identifying solutions for data challenges for institutional clients 

PRIMARY DUTIES 

  • Acts as daily point of contact for alternative asset client queries.
    • Acts as a subject matter expert for alternative asset queries
    • Assists in review of all other queries
  • Responsible for supporting data management with respect to alternative asset transactional impacts and interpretation of complex capital account statements and transaction notices.  Responsible for communicating how the data should be captured.
  • Acts as point of initial review for all investment data. Includes review of (but not limited to):
    • Investment transactions (typically statement-based for alternative assets; file-based for public markets)
    • Investment valuations (typically statement-based for alternative assets; file-based for public markets)         
    • Manager Estimates
    • Plan Income / Expense Items
    • Plan Contributions / Spending Withdrawals
    • Underlying Manager Exposure Data 
    • Benchmark Data
    • Alternative Investment Performance Data
  • Responsible for secondary review of all investment reconciliations. Includes reconciliation of cash, positions, performance, transactions, alternative investment metrics (unfunded commitment, etc.).
  • Responsible for secondary review of NAV, allocation and underlying client performance for alternative investments.
  • Serves as secondary reviewer of investment and composite performance calculations, including time weighted return and IRR calculations.
  • Serves as secondary reviewer of single, conventional and blended benchmark calculations; reviewer of Public Market Equivalent (PME) benchmark calculations.
  • Reviews proxy return settings at the investment level.
  • Participates in initial client discovery sessions, assists in project planning, setting client expectations and facilitating continuous client updates throughout the onboarding process 
  • Responsible for the review of all historic data entry and reconciliations during client onboarding. 
  • Assists in training new FOS partners in the alternative asset space.
  • Participates in ongoing process improvement discussions where feasible including:
    • Process improvement through technical skills development
    • Third party vendor sourcing
    • Ongoing Front Office Solutions program build (fee billing, legal contracts, training, etc.)

REQUIRED KNOWLEDGE & SKILLS

  • Experience working with complex asset owners including Endowments, Foundations, Family Offices, OCIOs, Pension Funds, Sovereign Wealth Funds, and institutional asset managers.
  • Strong understanding of institutional investment industry, including markets, instruments, funds and fund structures, trading, etc. 
  • Deep knowledge of Alternative Assets, investment products, and related operational processes (hedge funds, private equity).  Demonstrated understanding of private equity transactional impacts on unfunded commitments, market value, cost, and other metrics typically associated with private equity (TVPI, DPI, PIC, etc.).  
    • Demonstrated knowledge of complex capital account statements and transaction notices.
    • Deep understanding of Alternative Investment products.
    • Understanding of time weighted return and IRR calculations; understanding of instances when performance issues need to be escalated to a supervisor
  • Analytical skills.
  • Advanced understanding of Microsoft Suite (Excel, Word, PowerPoint, Visio), with particular emphasis on Excel.
  • Ability to prioritize, multi-task, and perform effectively under deadlines.
  • Ability to handle multiple concurrent projects and to reconcile any conflicting priorities.
  • Commitment to project success as it may require working unconventional hours during critical project phases

PREFERRED KNOWLEDGE & SKILLS 

  • Experience using VBA, Python or other programming language to format large data sets.
  • Prior experience with multi-asset class portfolio management software.
  • Experience/orientation to operational process improvement.
  • Client servicing experience.  High level of comfort communicating directly with clients and client advocacy.
  • Ability to work closely and collaborate with internal stakeholders.

QUALIFICATIONS 

  • A College or University degree
  • 5+ years industry experience working with Alternative Assets, preferably in Operations.
  • Completion (or progress towards) of advanced credentials (CFA, CAIA, CPA, MBA) preferred. 
  • A genuine desire and capability to work in a fast-paced, professional, inclusive environment which requires teamwork, well-honed problem-solving skills, frequent re-prioritization, deadline management, ongoing and comprehensive communication, constant attention to detail, and a commitment to continuous improvement and best practices.

Apply Online

Senior Analyst, Client Solutions – Front Office Solutions

Front Office Solutions is a new strategic business for Northern Trust, that provides a holistic digital+ service offering for some of the most sophisticated institutional investors across the globe, including foundations, endowments, pension funds, corporations, insurance companies, central banks and sovereign wealth funds.  As asset owners engage in more complex, data-driven investment approaches to asset allocation, their operational needs and demands for high quality data have skyrocketed.  Front Office Solutions provides a holistic, full-service, multi-asset solution that aims to empower in-house investment teams and support their important mission by providing a more comprehensive set of operational services and analytics including portfolio management, investment decision support, operational risk management, CRM/document management and workflow tools.  

Under general supervision, the Sr. Analyst will be responsible for investment data administration that will provide clients with the holistic data sets they need to fulfill their various stakeholder requirements.  Researching and identifying solutions for data challenges for institutional clients 

PRIMARY DUTIES 

  • Acts as point of initial entry for all investment data. Includes entry of (but not limited to):
    • Investment transactions (typically statement-based for alternative assets; file-based for public markets)
    • Investment valuations (typically statement based for alternative assets; file based for public markets)
    • Manager Estimates
    • Plan Income / Expense Items
    • Plan Contributions / Spending Withdrawals
    • Underlying Manager Exposure Data
    • Benchmark Data
  • Responsible for preparing all investment reconciliations. Includes reconciliation of cash, positions, performance, transactions, alternative investment metrics (unfunded commitment, etc.)
  • Import, normalize, and configure large amount of historical data sets from multiple systems into FOS technology platform.
  • Responsible for initial review of NAV, allocation and underlying client performance for alternative investments.
  • Serves as initial reviewer of investment and composite performance calculations, including time weighted return and IRR calculations.
  • Serves as initial reviewer of single, conventional and blended benchmark calculations.
  • Responsible for the input of all historic data entry and initial preparation of all reconciliations during client onboarding. 
  • Able to serve as a key subject matter expert and assist in training FOS partners in specific areas of expertise.
  • Participates in ongoing process improvements based on specialized skills, knowledge, and experience.

REQUIRED KNOWLEDGE & SKILLS

  • Knowledge of the investment industry, including markets and instruments.
  • Basic investment concepts knowledge: IRR, time-weighted return, NAVs, accruals, etc.
  • Investment operations knowledge: hedge fund accounting, private equity funds, performance reporting, etc.
  • Alternative asset class knowledge:  hedge funds, private equity, non-marketable securities, marketable securities, etc.
  • Advanced understanding of Microsoft Suite (Excel, Word, PowerPoint, Visio), with particular emphasis on Excel Advanced Excel skills (Excel Pivot Tables, Charts, V-lookup, etc.).
  • Analytical skills.
  • Understanding of instances when performance issues need to be escalated to a supervisor.
  • Ability to prioritize, multi-task, and perform effectively under deadlines.
  • Ability to handle multiple concurrent projects and to reconcile any conflicting priorities.
  • Commitment to project success as it may require working unconventional hours during critical project phases.

PREFERRED KNOWLEDGE & SKILLS 

  • Functional /industry knowledge of and experience with complex asset allocators such as endowments, foundations, family offices, institutional asset managers, pension funds or sovereign wealth funds.
  • Understanding of alternative investment custodians, administrators, and service providers.
  • Work experience in one of the following
    • Alternative Asset Operations
    • Performance Measurement
    • Investment Accounting (analytics, reporting, etc.)
  • Technical skills / systems knowledge (Investment Administration & Portfolio Analytics Platforms).
  • Experience using VBA, Python or other programming language to format large data sets.
  • Orientation to operational process improvement.
  • Client servicing experience.  High level of comfort communicating directly with clients and client advocacy.
  • Ability to work closely and collaborate with internal stakeholders.

QUALIFICATIONS 

  • A College or University degree, preferably in Finance, Accounting, Mathematics, Economics or a related field
  • 1+ years industry experience in one or more of the following fields:
    • Alternative Asset Operations
    • Performance Measurement
    • Investment Accounting (analytics, reporting, etc.)
  • Interest in pursuing:  CFA, CAIA, CIPM, CPA, MBA
  • A genuine desire and capability to work in a fast-paced, professional, inclusive environment which requires teamwork, well-honed problem-solving skills, frequent re-prioritization, deadline management, ongoing and comprehensive communication, constant attention to detail, and a commitment to continuous improvement and best practices

Apply Online

Overview

LGIMA has in excess of $219B under management and is a significant holder of global equity, fixed income, derivatives and currency exposure. The role requires an in depth skill set to trade and analyze global equity, fixed income, derivative and currency products for LGIMA’s Index department.

The role requires attention to detail and a high degree of efficiency in managing substantial order flow and data analysis.

Working within a dynamic pan-asset Global Trading Team, the primary role will be for an associate capable of researching and implementing global index, ESG and factor based products. A good understanding of other investment products, including fixed income and FX is required.

Responsibilities

  • Undertaking market-related research including detailed knowledge of all relevant index events in order to produce value-additive trading opportunities
  • Developing close working relationship with global investment center and understanding their specific requirements/objectives allowing a pro-active value addition to the investment process
  • Trading a wide range of global products, focusing on equity Index trading in compliance with client, legal and regulatory requirements
  • Analyzing transaction costs and applying conclusions to trading behavior
  • Monitoring trading to ensure “best execution”, timely settlement of all trades and optimal implementation outcomes
  • Encourage the use of alternative execution means to help achieve best execution/efficiency
  • Assist with ongoing IT developments bringing further efficiencies and added value to the team

Qualifications

  • College graduate with proven leadership and team focused skills
  • Experience working with an institutional asset manager with a focus on research
  • Understanding of fixed income, currency and derivative products and trading
  • Comfort with data aggregation and organization
  • Business development

EOE Statement

As an EOE employer, Legal & General Investment Management America will extend equal opportunity to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity, ancestry, national origin, age, disability, medical condition, genetic information, marital status, pregnancy, military status, and/or any other characteristic protected under applicable federal, state or local laws governing nondiscrimination in employment.

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The Group:
The Morningstar Investment Management group consists of our investment advice, multi-asset investment portfolios and sub-advisory investment products businesses. Through our registered investment advisor subsidiaries, we use our expertise in asset allocation, risk management and portfolio construction to create innovative investment solutions for institutions, advisors, and their clients. Everything we do is driven by our independent view, long-term investment approach and desire to always put investors first. Our US investment management business offers a turnkey asset management platform (TAMP) as well as managed portfolios on third party platforms (collectively Morningstar Managed Portfolios), a range of 40 Act funds, and a variety of investment management services for institutional clients.
The Role:
The Senior Manager, Trade Operations manages the trade operations team within Morningstar Investment Management (MIM)’s broader investment operations group. The manager is responsible for delivering the highest quality investment and operations support, ensuring efficient and robust investment portfolio trade implementation for the Morningstar Managed Portfolios (MMP) program and mutual fund operations. The manager plays a pivotal role in the evolution of the trade team and its processes, with a focus on optimizing trade workflows, managing operational risks and effectively leveraging vendors, technology and global operations resources. The ideal candidate is comfortable leading strategic operational developments while at the same time being rolling up their sleeves when needed. The role is based in Chicago in the heart of the Loop and reports to our Head of Investment Operations, Americas.

Responsibilities:

  • Oversee the full account trading life cycle of trading activity including but not limited to trade generation, routing, execution and reconciliation on a daily basis for TAMP accounts. + Support the trading operations associated with running our portfolios through a variety of third-party distribution platforms. + Evaluate current processes with a focus toward continuous process improvement and industry best practices.
  • Work closely with the investment management team, focused on providing best in class trading capabilities and solutions for funds.
  • Lead trade operations support for key product initiatives focused on bringing sophisticated investment options to market.
  • Maintain productive relationships with key stakeholders including custodians, third party vendors, other investment operations teams, and other functions within MIM to contribute to the efficient operation of our MMP program
  • Escalate, advocate beyond and resolve operations barriers. Ability to see the big picture and roll up sleeves to resolve issues. Liaise with custodians and third party vendors to improve and expand our capabilities. Escalate and resolve service issues. Requirements + 10-15 years relevant experience in trade operations, trading and portfolio services. Asset Management background is advantageous.
  • Functional knowledge of variety of products including; managed portfolios, TAMP solutions, and mutual funds
  • Operational team management experience required; demonstrated ability to empower, coach and develop team members.
  • Excellent attention to detail and accuracy; the person in this role must maintain a sharp focus during market hours and minimize distractions.
  • Strong organizational, time management, and client service skills. Integrity is a must in this role.
  • Proven ability to research and resolve complex operational issues and advise team on initiatives that improve overall efficiency.
  • A bachelor’s degree; a concentration in finance or a related area is a plus.
  • Fiserv APL experience is required. Charles River experience is a plus.
  • Advanced Excel training is advantageous.

Apply Online

Company Overview:

Aegon Asset Management is leading global investor. Our 360 investment professionals manage and advise on assets of US$386 billion for a global client-base of pension plans, public funds, insurance companies, banks, wealth managers, family offices and foundations.

We organize our investment capabilities around four focused platforms: fixed income, real assets, equities, and multi-asset & solutions. Each platform has dedicated teams with deep asset-class expertise, organized globally and committed to maximizing client benefit from their specialist areas.

We share a common belief in fundamental, research-driven active management, underpinned by effective risk management and a commitment to responsible investment.

We are an international business: Our 1,200 employees work from 17 locations across Europe, the Americas and Asia.  

Position Overview:

This position is a key role in the organization of Aegon Asset Management and will design and implement the company’s diversity and inclusion program.  Our ambition is to create a work environment in which all individuals are treated fairly and respectfully, have equal access to opportunities and resources, and can contribute fully to the organization’s success. International travel is required.

Responsibilities:

  • Ensure that diversity agendas are successfully implemented and in line with businesses objectives. Make recommendations on strategic objectives of the program to recognize and promote diversity and inclusion.
  • Investigate industry trends and incorporate best practices in our company
  • Develop training programs. Understand personnel barriers and suggest ways to overcome these.
  • Working with HR, become conversant on different legal regimes.
  • Understand the cultural differences in the company and the particular challenges that creates.
  • Supporting the recruitment team to help create a brand that appeals to diverse applicants and removes bias.
  • Establish objective, job-related employment criteria regardless of protected characteristics like age, gender and race.  Advocate for underrepresented categories.
  • Track and analyze diversity and inclusion metrics with regular reports and discussions with Executive Leadership.
  • Create a larger, sustainable pipeline by creating programs that reach into high schools and early university age groups.
  • Strong problem-solving skills with proven ability to take initiative and persevere through challenges.
  • Ability to manage confidential material and systems with absolute trust and integrity.

Required Qualifications:

  • Bachelor’s degree in human resource management, business, public administration, or related field
  • Minimum of 8 years experience in diversity and inclusion, including driving positive change in a corporate environment
  • Strong oral and written communication, and interpersonal skills
  • Ability to handle complex issues with discretion, serving as a mediator and guide to successful conflict resolution across all levels of the organization
  • Analytical skills with the ability to use data to create, develop and execute people strategies
  • Project management experience
  • Understanding and awareness of diversity and inclusion issues and best practice.

Preferred Qualifications:

  • MBA strongly preferred
  • Experience building D&I program within the Financial Services industry
  • Effectively communicate orally and in writing, to all audiences, ability to handle multiple projects by using effective project management skills, analytical. Organizational and prioritization skills, effective judgment, address employee issues on a timely basis.

Contact: Heidi Strohman,  hstrohman@aegonusa.com

 

 

 

The Associate Principal Examiner conducts routine review and investigations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under available supervision.

Essential Job Functions:

  • Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
  • Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws.
  • Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
  • Through the review/investigative process the Associate Principal Examiner resolves situations that may impact the integrity of Nasdaq or other markets.
  • Demonstrates a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations; performs preventive compliance functions.
  • Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
  • Utilizes computer resources and software applications for high-level data analysis pursuant to investigation/review procedures.
  • Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.

Education/Experience Requirements:

  • Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
  • A minimum of five years of directly related experience.
  • Substantial knowledge of relevant FINRA/SEC rules and regulations.
  • Substantial knowledge of securities markets, member firm operations, books and records.
  • Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications.

 Work Conditions:

  • Ability to work under pressure.
  • Attention to detail is essential.
  • Strong verbal and written communication skills and technical capabilities are essential to position.
  • Some travel may be required.

 To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Apply Online

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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

 

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

 

You can read more about these restrictions here.

 

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

 

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

 

FINRA is an Equal Opportunity and Affirmative Action Employer

 

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

 

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

 

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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https://finra.wd1.myworkdayjobs.com/FINRA/job/Chicago-IL/Examination-Manager–T-E-FinOps_R-001309

 

To ensure completion of risk-based examinations of FINRA member firms and registered representatives.

Essential Job Functions:

  • Manages of 4-6 Examination Analysts.
  • Manages direct reports performance on an annual basis.
  • Schedules and staffs exams.
  • Reviews and approves risk reviews.
  • Reviews and approves all exam related reports and letters (i.e. strategy, exit, exam, disposition, etc.) for low and medium-low firms.
  • Empower direct reports to make decisions relating to the completion of reviews appropriate for their level and expertise.
  • Trains and mentors exam staff and direct reports.
  • Promotes open dialogue and communicates key issues to staff and senior management.

Education/Experience Requirements:

  • Bachelor’s Degree or an equivalent combination of education and experience required.
  • Major in Accounting, Finance, Economics, Business Administration or related fields preferred.
  • MBA, JD, other graduate degree and/or relevant industry certification(s) preferred.
  • Significant securities, compliance or financial regulatory experience.
  • Moderate experience managing projects and/or people.

Knowledge Requirements:

  • Advanced knowledge of FINRA’s risk fundamentals.
  • Advanced knowledge of securities rules and regulations.
  • Advanced knowledge of firm business models, business lines, customer bases, products and services.
  • Advanced knowledge of rule changes and interpretations.
  • Advanced knowledge of industry wide events and trends affecting FINRA’s exam program.
  • Advanced knowledge of FINRA departments and their mandates.

Skill Requirements:

  • Proficient in utilizing available resources.
  • Advanced ability to recognize and understand the relationship and impact between regulatory areas.
  • Advanced ability to manage time effectively and complete examinations within the budgeted time frames.
  • Advanced ability to effectively liaise with internal and external parties.
  • Advanced ability to identify and prioritize risk.
  • Advanced ability to inspire and motivate direct reports.
  • Advanced relationship building skills.
  • Advanced ability to make timely decisions.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

 Apply Online

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

 

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

 FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

 

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

 

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