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Equity Structured Products Sales and Operations Associate - Req. 1901139


Job Summary:


Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience, to manage the marketing, administration and distribution of lead and co-managed Equity Structured Products (ESP) offerings.  Extensive contact with all levels of retail sales management, branch managers, and Financial Advisors is required.  Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions.


Essential Duties and Responsibilities:


• Follows compliance regulations to process Structured offerings from announcement to final settlement.

• Request, review and maintain Structured Products termsheets with the counterparties prior to trading.

• Ensure proper approvals from legal, risk, and compliance as required prior to trading. Responsible for maintenance and control of the database of the approved termsheets.

• Development and review of marketing materials and sales plans for Structured Products.

• Strive to improve existing process to enhance standards and grow business. Identify and address control gaps in the procedures and business practices and aim at closing gaps.

• Manages relationships with Financial Advisors through service support.

• Assists with retail branch inquiries, marketing, and ticketing.

• Develops, maintains, and monitors pricing models and initiates trade corrections/price improvements as necessary. Must be able to initiate/escalate conversations/negotiations with senior representatives of counterparties.

• Various compliance/internal audit inquiries.

• Assists with annual budget process and inquiries.

• Maintains and enhances existing Financial Advisor relationships and expands the ESP network of Advisors through the creation of new relationships. 

• Analyzes participating accounts, to ensure that Financial Advisors are providing quality placement of ESP offerings with their retail clients. 

• Develops and maintains the departmental intranet page on company’s intranet and provides input into redesign as needed. 

• Partners with other internal departments to leverage product sales and generate new business opportunities. 

• Meets with external senior corporate executives to review company capabilities with a focus on retail distribution strengths and strategy.  

• Maintains regular contact with senior manager and other internal customers to identify, research and resolve issues.

• Assists with the development of processes and procedures to ensure efficient and timely work flow.

• Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.

• Balances conflicting resources and prioritizes demands.

• Ensures effective coordination occurs between assigned functional area and other areas.

• Prepares and delivers written and oral presentations to senior management.

• Performs other duties and responsibilities as assigned.


Knowledge, Skills, and Abilities:

Knowledge of:

• Advanced concepts, principles and practices of FINRA compliance regulations, trading regulations and accounting principles.

• Advanced investment concepts, practices and procedures used in the securities industry.

• Advanced concepts, principles and practices of Investment Banking.

• Advanced concepts, principles and practices of sales and marketing.

• Financial markets, products, financial advisory function and investment process.

Skill in:

• Problem solving sufficient to effectively analyze, research and resolve inquiries in a timely manner.

• Problem solving and the ability to think independently sufficient to market ideas.

• Identifying trends and implementing appropriate action.

• Analyzing and interpreting financial statements.

• Analytical skills sufficient to assess and explain events in the market.

• Defining high standards of quality and evaluating products, services, and own performance against those standards.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets.

Ability to:

• Work under pressure on multiple projects concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Communicate effectively, both orally and in writing, with all organizational levels, including senior management.

• Establish and maintain effective working relationships at all levels of the organization.

• Balance conflicting resource and priority demands.

• Partner with other functional areas to accomplish objectives.

• Work independently, make non-routine decisions and resolve moderately complex accounting problems.

• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment with frequent interruptions.

• Attend to detail while maintaining a big picture orientation.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Work independently as well as collaboratively within a team environment.

• Identify required tasks, develop timelines and execute.

• Project a positive, professional image both within the company and with external business contacts.

• Convey information clearly and effectively through both formal and informal documents.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.A.) in Finance, Accounting, Business or a related field and minimum of five (5) years of experience in capital markets.


• Any equivalent combination of experience, education, and/or training approved by Human Resources.


• SIE required provided that an exemption or grandfathering cannot be applied.

• FINRA Series 7, 63, and 55 Licenses.