Jefferies
Executive Compensation Trading & Middle Office Operations AVP/VP
Jefferies, New York, New York, us, 10261
Executive Compensation Trading & Middle Office Operations AVP/VP
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Executive Compensation Trading & Middle Office Operations AVP/VP
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Jefferies
Overview This Executive Compensation Trading & Middle Office Operations AVP/VP will primarily support Jefferies Wealth Management's CES (Corporate and Executive Services) business. The CES team manages the Executive's transition from illiquid to liquid. This includes pre to post transaction planning which incorporates any combination of the following, including but not limited to, the servicing of equity compensation plans, implementation and execution of 10b5-1 Plans and/or Purchase Plans, Restricted Stock Sales + Block Trades, Equity + Option Plan Consulting (Cash/Cashless Exercise), Concentrated Stock Position Management, Portfolio Volatility Management and Wealth Planning. Wealth Management's Corporate and Executive Services team also partners with Jefferies Equity Capital Markets and Investment Banking to assist Issuers, priority relationships and sponsors with the facilitation of key institutional equity deal placements. We assist Issuers and their management teams with corporate buy backs and block trading. We facilitate and manage deal placements on behalf of retail participants for both Jefferies equity IPO and follow-on transactions.
Responsibilities
Support Wealth Financial Advisor teams with equity, international, and option and FIX related order flow, through our firm’s third-party OMS Fidessa and Pershing’s front-end tool, NetX360.
Operational support for trading desk and 10B5-1 process on a day-to-day basis – Including assistance with 10B5-1 trading formula and plan implementation, order routing, live market data price fluctuation monitoring within the active Jefferies 10B5-1 plan universe.
Assist CES team with 10B5-1 plan operational plan tracking, maintenance, and monitoring within newly created proprietary portal utilized by corporate & executive service team.
Assist CES team stay up to date with regulatory landscape specific to 10B5-1s including maintaining, tracking, and filing 144 sales as agent on behalf of executive clients via the SEC Edgar website and Edgar Next.
Work with Technology to identify and prioritize business requested fixes and enhancements to 10B5-1 system, including clear communication of business requirements and active participation in collaboration meetings and testing.
Assist with day-to-day equity syndicate IPO and Secondary allocations on behalf of Wealth Management providing deal color to FAs and managing order books.
Active involvement in supporting projects related to the growth of the CES business, structured products sales and third-party derivative managers that manage concentration risk.
Provide execution support to sales teams from pre to post market sessions.
Creation of management presentations, pitch decks and procedural docs when needed and while keeping updated.
Respond timely to escalated inbound Financial Advisor and Sales Assistant requests for middle office and trade support.
Ability to analyze data within excel, create ad-hoc reports and present findings in presentation form.
Qualifications
Bachelor’s degree in business administration, Finance, Economics, Computer Science, or related field preferred
4+ years’ experience with wealth management equity and options trading and order flow, 10B5-1 plan and/or equity compensation plan support, middle office support.
Strong quantitative, analytical, project management and problem-solving skills.
Excellent time management skills and the ability to prioritize work.
Advanced skills in Microsoft Excel, Word, PowerPoint
Solid communication skills and “presence” to interact effectively with clients as well as internal teams and stakeholders.
Experience with Pershing NetX360, Fidessa, IPREO Equity and Retail Bookbuild, Factset, or similar custodial and client management systems.
Series 7 & 63 licenses required.
About Us Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments. Jefferies is committed to equal opportunity employment and to creating a diverse and inclusive workforce.
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Executive Compensation Trading & Middle Office Operations AVP/VP
role at
Jefferies
Overview This Executive Compensation Trading & Middle Office Operations AVP/VP will primarily support Jefferies Wealth Management's CES (Corporate and Executive Services) business. The CES team manages the Executive's transition from illiquid to liquid. This includes pre to post transaction planning which incorporates any combination of the following, including but not limited to, the servicing of equity compensation plans, implementation and execution of 10b5-1 Plans and/or Purchase Plans, Restricted Stock Sales + Block Trades, Equity + Option Plan Consulting (Cash/Cashless Exercise), Concentrated Stock Position Management, Portfolio Volatility Management and Wealth Planning. Wealth Management's Corporate and Executive Services team also partners with Jefferies Equity Capital Markets and Investment Banking to assist Issuers, priority relationships and sponsors with the facilitation of key institutional equity deal placements. We assist Issuers and their management teams with corporate buy backs and block trading. We facilitate and manage deal placements on behalf of retail participants for both Jefferies equity IPO and follow-on transactions.
Responsibilities
Support Wealth Financial Advisor teams with equity, international, and option and FIX related order flow, through our firm’s third-party OMS Fidessa and Pershing’s front-end tool, NetX360.
Operational support for trading desk and 10B5-1 process on a day-to-day basis – Including assistance with 10B5-1 trading formula and plan implementation, order routing, live market data price fluctuation monitoring within the active Jefferies 10B5-1 plan universe.
Assist CES team with 10B5-1 plan operational plan tracking, maintenance, and monitoring within newly created proprietary portal utilized by corporate & executive service team.
Assist CES team stay up to date with regulatory landscape specific to 10B5-1s including maintaining, tracking, and filing 144 sales as agent on behalf of executive clients via the SEC Edgar website and Edgar Next.
Work with Technology to identify and prioritize business requested fixes and enhancements to 10B5-1 system, including clear communication of business requirements and active participation in collaboration meetings and testing.
Assist with day-to-day equity syndicate IPO and Secondary allocations on behalf of Wealth Management providing deal color to FAs and managing order books.
Active involvement in supporting projects related to the growth of the CES business, structured products sales and third-party derivative managers that manage concentration risk.
Provide execution support to sales teams from pre to post market sessions.
Creation of management presentations, pitch decks and procedural docs when needed and while keeping updated.
Respond timely to escalated inbound Financial Advisor and Sales Assistant requests for middle office and trade support.
Ability to analyze data within excel, create ad-hoc reports and present findings in presentation form.
Qualifications
Bachelor’s degree in business administration, Finance, Economics, Computer Science, or related field preferred
4+ years’ experience with wealth management equity and options trading and order flow, 10B5-1 plan and/or equity compensation plan support, middle office support.
Strong quantitative, analytical, project management and problem-solving skills.
Excellent time management skills and the ability to prioritize work.
Advanced skills in Microsoft Excel, Word, PowerPoint
Solid communication skills and “presence” to interact effectively with clients as well as internal teams and stakeholders.
Experience with Pershing NetX360, Fidessa, IPREO Equity and Retail Bookbuild, Factset, or similar custodial and client management systems.
Series 7 & 63 licenses required.
About Us Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments. Jefferies is committed to equal opportunity employment and to creating a diverse and inclusive workforce.
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