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OPEN JOB - Investment Banking / Primary Issuance Operations Manager

New York City, NY
JOB TITLE: Investment Banking / Primary Issuance Operations Manager
TYPE: HYBRID – (with in office either the NYC or Jersey City office)
TARGET COMPENSATION: $125,000 - $150,000

Our customer is the global leader in supporting both traditional private securities as well as digitally enhanced securities utilizing innovation to develop and commercialize fintech solutions for the capital markets based on traditional, blockchain and related advanced technologies.

JOB DESCRIPTION:
  • Our client is recruiting a Primary Issuance Operations Manager to join their Brokerage Division. This role is critical to the vision of the company’s core value proposition to expand its online brokerage platform to include a wide range of investment products and services.
  • This employee will focus on processing investment in primary issuances, but also support the secondary trading platform.
  • Ideal candidates will have operational experience with private placements and other investment banking products, want to join a growing team, and think strategically about improving efficiency and synergizing different tools to streamline processes. 
  • Interest and familiarity in the crowdfunding industry and blockchain technology is a plus.

KEY RESPONSIBILITIES:
  • Collaborate with team members to determine and prioritize business strategies.
  • Collaborate with team members to establish, execute, and manage the primary issuance department for our brokerage business.
  • Strategically develop systems and operational procedures and refine for efficiency.
  • Determine key performance indicators and define how to measure team performance, managing company OKRs.
  • Coordinate with broker-dealer supervisory personnel to revise and update policies.
  • Coordinate closely with broker-dealer compliance on AML/KYC monitoring and other compliance tasks; identify trends and provide recommendations to optimize compliance & processes.
  • Perform ongoing validation of monitoring strategies to ensure appropriate governance and control.
  • Develop and deliver communications materials for everything from town halls to operations training.
  • Oversee primary issuance issuer and asset onboarding.
  • Oversee primary issuance investor onboarding.
  • Coordinate with Secondary Markets Operations as appropriate to onboard and transition clients and assets.
  • Organize and manage a wire room, including receipt and refunds of ACH, Wire, and Check transactions.
  • Coordinate with Controller to oversee reconciliation of funds from primary issuance capital raises
  • Ensure that the front end systems & interfaces function properly, and communicate with other related networks.
  • Review and approve inbound and outbound funding requests from clients.
  • Communicate directly with clients to review and respond to inquiries and requests.
  • Review and approve account applications.
  • Collaborate with developers to create & identify system enhancements to expedite efficiency  
  • Report findings to Legal and Compliance and provide timely follow-up on outstanding issues.
  • Perform other duties as required and assigned by management.
  • Resolve any noted discrepancies with our vendors and service providers.

EXPERIENCE & QUALIFICATIONS
  • 4+ years’ experience in a brokerage or investment banking operations role
  • Understanding and appreciation of operating in a regulated securities industry
  • Experience in the private capital markets
  • Fluency with digital technology application to capital markets preferred
  • Excellent oral and written communication skills
  • Ability to multitask while paying high attention to detail  
  • Ability to manage parallel tasks
  • Able to work independently and efficiently in a fast moving environment with tight deadlines
  • Proven experience directing multiple teams and departments
  • Thought-provoking team player
  • Familiarity with securities crowdfunding a plus

EDUCATION:
  • Bachelor’s degree required in business or related field.

NICE TO HAVES:
  • FINRA Licenses: Series 79, or Series 7 and, preferably, Series 24


If you are interested in pursuing this opportunity, please respond back and include the following:
  • MS WORD Resume
  • Required compensation
  • Contact information
  • Availability

Upon receipt, I will contact you to schedule a convenient time to discuss the position.
 
MICHAEL JUDE
Intermedia Group Inc
Email: Mike@intermediagroup.com
Linkedin: https://www.linkedin.com/in/michael-jude-3062161a3/

 
 
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