We are currently seeking a senior institutional salesperson to join our Institutional Equity Sales team. The ideal candidate will develop and maintain a client base that seeks to invest in formational capital raises. This professional will have excellent interpersonal skills, is self-driven, thrives in a highly incentivized culture, and possesses a strong interest in financial markets. This candidate will also facilitate meetings, host conference calls, and communicate our specialized institutional research offering. This role may be based in either the Washington, DC, New York or South Carolina offices, depending on experience of candidate.
Responsibilities and Duties:
- Prospect, develop, and maintain sales coverage to an institutional investor base.
- Work with Investment Banking team to raise large pools of capital for companies in the form of private and public offerings.
- Help implement the overall sales strategy by achieving account and revenue target goals.
- Work collaboratively with research analysts on unique special situations & the intersection of fundamental and policy research.
- Coordinate, attend, and host client meetings with research analysts and bankers.
- Develop quick understating of the firm’s CRM, research library and 3rd party aggregators.
Requirements and Qualifications:
- Minimum 2-3 years sales experience with proven ability to prospect, service and upsell accounts.
- Bachelor’s Degree in a related field.
- Strong analytical, communication, and organizational skills.
- Ability to work independently as well as on a team.
- Series 7 & 63) licenses.
- The ideal candidate will quickly integrate and become a meaningful contributor to the team.
Candidate must be authorized to work permanently in the U.S. Compass Point does not offer sponsorship for work visas.
We are currently seeking a highly motivated and experienced Chief Compliance Officer to join our team. The successful candidate will be responsible for leading all components of the compliance program of the broker-dealer. Responsibilities include interfacing with regulatory agencies and general compliance with applicable rules and regulations. The successful candidate will have a thorough understanding of regulatory requirements impacting trading, research and investment banking.
Responsibilities:
- Identify, implement, and maintain policy and procedures to ensure compliance programs are effective and compliant with regulations
- Oversee broker-dealer compliance programs including WSP’s, training programs, AML compliance, licensing, annual testing and continuing education programs
- Serve as the primary contact for regulatory inquiries and exams
- Maintain Firm’s Watch and Restricted Lists
- Review of equity and policy research reports for compliance
- Provide advice and act as Firm’s subject matter expert on complex regulatory issues and compliance rules and procedures for Investment Banking, Research and Trading
- Maintain a thorough understanding of securities rules and regulations through ongoing educational training
- Work closely across all departments ensuring compliance with internal policies
Requirements and Qualifications:
- Bachelor’s degree or higher education is required
- Series 7 and 24 are required
- A minimum of 10+ years working in a compliance role supporting a broker-dealer
- Demonstrated knowledge of rules, regulations and best practices related to broker-dealer operations
- Strong written and verbal communication skills
- Ability to interact with a diverse group of colleagues representing various business lines.
Candidate must be authorized to work permanently in the U.S. Compass Point does not offer sponsorship for work visas.
We are currently seeking an Associate to join our Specialty Research team. Working alongside a Senior Analyst, the ideal candidate will contribute to the investment process by preparing company-specific and industry reports, building valuation models, conducting deep-dive data analysis, and assisting with custom projects. The ideal candidate is a self-starter, possesses a strong interest in financial markets and can work independently. This role is based in the Washington, DC office.
Responsibilities:
- Perform financial modeling and valuation analysis.
- Analyze earnings reports, conference calls, transcripts, market data and industry publications.
- Develop a deep understanding of companies under coverage and industry trends.
- Participate in calls and meetings with investors, company management and the sales team.
- Assist with special projects and administrative tasks as needed.
Requirements and Qualifications:
- Minimum of 2-3 years related experience conducting financial analysis, modeling, or data analytics.
- Undergraduate degree in finance, accounting, math/applied sciences, or similar quantitative discipline preferred.
- Strong verbal and written communication skills.
- Ability to multi-task, work independently, be flexible with work hours.
- Advanced aptitude in Excel is required. Proficiency in other data applications is a plus.
- Finra series 7, 86 & 87 preferred. The ideal candidate will quickly integrate and become a meaningful contributor to the team.
Candidate must be authorized to work permanently in the U.S. Compass Point does not offer sponsorship for work visas.