Branch Supervision Manager - (US-CA-San Francisco)

Branch Supervision Manager - (US-CA-San Francisco)

Compensation: $70K - $85K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: TJKJA21

Salary PLUS bonus 

Responsible for performing certain supervisory requirements on behalf of the Branch Managers and Business Line Supervisors of all the registered employees within the assigned regional market. This includes all Associated Persons and licensed employees from Institutional Services, Wealth Management, Individual Client Services, Marketing, and any other employee registered though The Company’s Individual & Institutional Services, LLC. 

Qualifications & Requirements 
· Minimum of a Bachelors degree 
· Minimum of 3-5 years of retail regional/branch supervision broker dealer/regulatory and corporate business experience. Not someone who is a part of Compliance. This role is in the Business. This individual understands the Compliance & Regulatory rules and regulations and works directly with the business to bring about solutions/results. 
· Strong written and verbal communication skills, including reports and presentations 
· Strong organizational, time management, analytical and negotiation skills 
· Ability to develop and assess process flows, procedures, processing guidelines 
· Ability to navigate and obtain evaluation information simultaneously from various systems 
· Ability to execute multiple assignments with minimal oversight 
· Ability to effectively partner & communicate with other Branch Supervision Managers in other 15 regions 
· Proficient Microsoft Office skills, including Excel, Word and PowerPoint 
· Maintains the highest standards of integrity, respect, and confidentiality 
· Series 7 Required. Series 24 &/or Series 8 &/or Series 9-10 Required. Series 65 and Insurance License a plus 
· 50% travel within Region 

Ensure all delegated supervisory responsibilities have been completed and reported for all registered employees within the assigned Regional Market. 

Examples are included, but not limited to the following: 

Review and sign off of incoming and outgoing correspondence 
Review and sign off - Complaint Log, Gift and Entertainment Log, Checks and Securities Log and Signature Guarantee Log 
Perform email review via the Orchestria Surveillance system 
Perform Signature Guarantee Stamps 
Review and approve all Outside Business Activities 
Review and sign off of Registered Representative files 
Ensure employees are properly registered and current on continuing education and firm element requirements and interface with Registration and Licensing to resolve issues and tracking. Also provide RegEd training 
Provide orientation training for new Registered Representatives i.e. U4 filing, RegEd, complete disclosure documents, RR file set up, as well as fingerprinting for new Registered and Associated persons. 


Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 

To receive a complimentary subscription to my job search ezine, No B.S. Job Search Advice, go to www.JeffAltman.com to subscribe. Receive tweets from Twitter with job search tips – TheBigGameHuntr AND become a fan on Facebook http://goo.gl/Argw

C# Developer - (US-PA-Bala Cynwyd)

C# Developer - (US-PA-Bala Cynwyd)

Compensation: $75K - $85K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: RTWJA4
The Software Engineer is responsible for the implementation and timely delivery of software modifications and support of the integrated suite of treasury software products. This position is based in our office in Bala Cynwyd, PA. 


Responsibilities: 
· Implement code to meet business requirements and technical design, including data model, object model, UI behavior, and state management and transitions 

· Unit test changes 
· Work closely with quality assurance analysts to identify and resolve defects and gaps in implementation, both before and after release 

· Contribute to stable, regular test builds and scheduled production releases 
· Follow corporate development and architectural standards 
· Participate in code reviews and incorporate feedback 
· Share techniques, tips, and explanations of changes that may aid fellow developers in their work 
· Participate in technical resolution of client issues 
· Installation and support of the application 

Qualifications: 
This position requires an individual with proven technical ability and full life-cycle team development experience. The candidate must have 5 years of experience in object-oriented programming, including 2 years with C# and ASP.NET. Experience with Javascript, HTML, SQL, SQL Server, Oracle, and Crystal Reports is highly desirable. A degree in Computer Science or equivalent training is required. Experience in the financial or accounting fields is preferred. A proven ability to resolve client issues in a timely manner is also required. 

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 

To receive a complimentary subscription to my job search ezine, No B.S. Job Search Advice, go to www.JeffAltman.com to subscribe. Receive tweets from Twitter with job search tips – TheBigGameHuntr AND become a fan on Facebook http://goo.gl/Arg 

Hedge Fund Auditor - (US-NY-New York)

Hedge Fund Auditor - (US-NY-New York)

Compensation: $80K - $85K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: KKFJA2
Minimum 3 years Professional experience 

Responsibilities: 

• Provide high quality, professional day-to-day execution of internal audit engagements and projects in line with firm risk management practices 
• Assist in preparing risk assessment, audit plan programs, working papers, and internal audit reports 
• Working knowledge of business processes and key risks and controls in the investment banking and broker dealer industries including front, middle and back-office capital markets activities 
• Working knowledge of key financial instruments and derivative products 
• Working knowledge of the key processes and risks and controls in asset management organizations 
• Work on project teams focused on advisory projects 
• Identify and communicate findings to senior management and client personnel 
• Help identify performance improvement opportunities for clients 
• Supervise and provide performance management for staff working on assigned engagements 
***SOX, GAAP, Risk Management…Specialist in INTERNAL CONTROLS and RISK 

**Be able to work with Auditing technology tools (there are a variety) 

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 

To receive a complimentary subscription to my job search ezine, No B.S. Job Search Advice, go to www.JeffAltman.com to subscribe. Receive tweets from Twitter with job search tips – TheBigGameHuntr AND become a fan on Facebook http://goo.gl/Argw