POSITION: Evercore seeks to hire an experienced Vice President to join our Institutional Equities team at Evercore ISI as a Sales & Trading Risk Supervisor in New York, NY. Evercore ISI is a fast-paced, dynamic environment where initiative is welcome and motivated self-starters with problem-solving skills are highly appreciated.
PRIMARY RESPONSIBILITIES: The Sales & Trading Risk Supervisor will report to the Head of Sales and Head of Trading, and will work with all members of the Sales and Trading functions as well as their associated control functions, including Compliance, Legal, Financial Operations and Information Technology.
The position requires a detail-oriented candidate, able to provide real-time advice, as well as critical analysis and thoughtful, comprehensive solutions.
- Conduct delegated supervisory review of institutional sales material on both a pre- and post-distribution basis;
- Review electronic communications of Evercore ISI Sales & Trading personnel;
- Monitor, maintain and test market access related risk limits on a regular basis;
- Review and conduct certain Sales & Trading exception reports on a periodic basis;
- Partner with Compliance to develop policies and procedures designed to improve current processes and implement changes as needed; and
- Review accuracy of data used and reported for regulatory obligations (e.g., OATS/CAT; 606; Reg SHO; Best Execution; Trade Reporting).
- Bachelor’s Degree or equivalent; JD or MBA a plus;
- 5-7 years of relevant supervisory and/or compliance experience, preferably at a major securities firm or regulator;
- Candidate must have FINRA Series 7 and Series 24 licenses;
- Candidate should have FINRA Series 57 license, or must obtain it within three months of hire date;
- Strong organizational and analytical skills;
- Excellent written and oral communications skills with the ability to communicate with all levels including senior management;
- Ability to work well within a team, while also exercising independent judgment;
- Able to identify issues and resolve them and/or escalate appropriately; and
- Candidate should have familiarity with the US equity trading markets, including relevant current and proposed industry and regulatory developments. Understanding of the US rules governing institutional equity trading, public offerings, account structure, and other key rules and regulations is helpful.