Client Services Account Associate 50k-70k base Midtown NY

Company provides investment management and advisory services to institutional clients, financial intermediaries, private clients and investment vehicles around the world. Invest in a wide selection of equity, fixed income and alternative investments with the goal of producing superior risk-adjusted investment returns and providing investment solutions customized for our clients.

The Account Services Group is seeking a Client Account Services Associate to support the Institutional side of the business. This individual will be responsible for the facilitation and maintenance of the new account opening process for offices globally. The person will be required to coordinate all client related account openings and requests across various business units such as Accounting, Billing, Trading, Portfolio Management and Legal/Compliance.

The select individual will be expected to interface with all levels of management globally as well as external counterparties. The client associate will be expected to work under tight deadlines and have excellent organizational and time management skills. He/she must have excellent oral and written communication skills and be able to work both independently and as an effective team member.

Desired Qualifications
Bachelor’s degree or equivalent; major in Finance or Business a plus, but not required
3-5 years of related experience
Prior Asset Management/Operations custodial and/or broker-dealer experience is preferred
Knowledge of global market onboarding is preferred
Proficiency in MS office is required and MS Access is preferred

Compliance Associate (PERM) Midtown NY Global Investment Company 60k-75k DOE

Assist with compliance oversight of our proprietary mutual funds, registered investment advisers and limited purpose broker-dealer.

Will conduct hands-on compliance under the guidance of more senior members of the Compliance team.

Should either have the appropriate FINRA licenses, or be amenable to obtaining licenses soon after beginning employment.

Major Responsibilities/Activities: •Register FINRA registered associated persons, including filing of Forms U4 & U5 and coordinate continuing education activities •

Facilitate onboarding process for new employees, including maintaining and reviewing new hire paperwork and conducting orientation

•Facilitate and participate in compliance training for new and current employees

•Monitor employee personal trading activities, resolve exceptions and maintain satisfactory records

•Assist in the preparation of regulatory filings such as SEC Forms ADV, 13G,13F and CFTC/NFA Forms PQR and PR

•Assist with monthly/quarterly and ad hoc client reporting and client questionnaires

•Review electronic communications, including emails and instant messages for any violations of internal policies and procedures

•Conduct vendor/service provider oversight and due diligence reviews

•Assist with internal and external audit requests and regulatory reviews

•Perform anti-money laundering functions related to the registered U.S. funds and private placements

•Perform checks against the OFAC list for all business counterparties Minimum Requirements:

•Two to four years of compliance experience, preferably at an investment advisor or broker-dealer firm.

•Series 7 preferred, or willingness to obtain within 6 months of hire

•Ability to manage priorities and handle multiple projects simultaneously

•Excellent oral and written communications skills

•High attention to detail, including the ability to maintain orderly documentation and track issues/recommendations

•Superior organizational skills and ability to meet deadlines •General understanding of regulatory/self-regulatory agencies (SEC, FINRA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Investment Company Act of 1940

•Proficient in Microsoft Office; experience with WebCRD, Protegent (PTA) and Global Relay is a plus

Receptionist Midtown NY 35k-45k

ESSENTIAL JOB FUNCTIONS:

•Welcomes clients and visitors in person or on the telephone in a professional manner.
•Operates Cisco telephone system in accordance with Firm procedures.
•Answers all incoming calls, making sure clients reach correct destinations.
•Takes accurate messages and delivers messages promptly via e-mail as directed by lawyer or secretary.
•Coordinates conference room schedules (including video conference room) and visiting attorney offices.
•Communicates catering needs to catering or appropriate department timely.
•Assists with car and travel reservations.
•Schedules meetings, including conference rooms and informs catering, IT and others as needed.
•Registers visitors utilizing building security system.
•Corresponds with Facilities regarding temperature control in conference rooms.
•Assists with loaner access cards and ensuring timely return.
•Covers message center and evening hours.
•Provides back up support to Receptionist team.
•Performs other office-related tasks as assigned by supervisor.

QUALIFICATIONS:
•Strong interpersonal skills, pleasant telephone manner, professional demeanor and appearance.
•Strong customer service skills.
•Good communication skills.
•Punctuality and dedication to job a must.

Executive Assistant Global Investment Company Midtown NY 80k DOE

Coordinate and attend departmental meetings; handle agenda, minutes and follow-up tasks;
• Assist with coordinating calendars for internal and external scheduling of meetings;
• Assist with event planning;
• Perform administrative tasks such as expenses, phone coverage, conference room booking, ordering supplies, travel coordination, check requests, etc.;
• Assume additional tasks and responsibilities as required; willingness to help across teams within the institutional group is required
Highly organized, resourceful, detail-oriented person who is comfortable working both independently within a team environment
• Experienced in Outlook calendar functions
• Excellent in Microsoft software products including: Word and PowerPoint
• Able to handle multiple assignments; knows how to prioritize; understands and adheres to standards of confidentiality
• Excellent technical skills; must be able to learn various software systems
• Self-motivated, personable and able to communicate effectively with senior professionals
• 7 years+ experience working in the financial services industry and/or Institutional investment advisory experience preferred.
• Excellent (written and verbal) communication skills
• Bachelor’s degree preferred

Senior Administrative Assistant 70k-80k Midtown NY

•Answer and screen telephone calls; when appropriate, refer or direct calls to appropriate parties
•Prepare, type, and edit documents using Microsoft Office
•Schedule and coordinate meetings and appointments, arrange conference calls and video conferences, book meeting rooms, coordinate catering requirements with hospitality department
•Greet and assist visitors
•Coordinate domestic and international travel arrangements, prepare travel itineraries
•Coordinate local travel arrangements and accommodations for visiting executive guests
•Prepare travel reimbursement reports and check requests and work with Finance to ensure timely payments; review expense reports
•Maintain hard copy and electronic filing systems
•Proactively seeks out ways to develop systems and continually services the needs of the team to ensure time is focused on accomplishing priority objectives
•Facilitate and track communications internally and externally
•Assist with key priorities, maintain task list
•Follow-up on meetings and assist with deliverables
•Maintain contacts directory, personnel files and records
•Perform general office duties to include, but not limited to: printing, photocopying, faxing, mailing, preparing courier packages, filing
•Maintain confidentiality of client and employee information

•Bachelor degree highly preferred and minimum 2 years administrative experience
•Strong Microsoft Office Skills (Outlook, Word, Excel, PowerPoint)
•High degree of integrity, confidentiality, initiative, accountability, and strong work ethic
•Excellent communication skills in person, on phone, and by email and voicemail
•Strong proofreading and grammatical skills
•Ability to prioritize and manage multiple on-going tasks and projects
•Attention to detail and quality of work product