Miami based wealth management firm seeks Compliance Analyst
Miami-based $4B Private Wealth Manager seeks Compliance Analyst (in-office with the possibility of going remote). Document client accounts and company funds. Subscription/redemption docs; account maintenance. Communicate with clients, investment managers, custodians. SEC filings, NYSE. Onboarding, AML, KYC, Patriot Act, FATCA. Private equity/credit, alternatives, ’40 Act. 2-5 years banking, BD, or RIA experience. BA/BS in Business,…Read More
POTPOURRI: A WIDE-RANGING SUMMER SLEW OF IDEAS
Sometimes, no matter how hard I try, I can’t seem to come up with a compelling topic to write about, so I keep a notebook of ideas to help me out in the lean times. This was one of those times. I checked my list and found lots of good ideas, but none that could…Read More
THE INTERVIEWER: WHY DO I WANT THIS JOB?
We enter the job market for many reasons. On one end of the spectrum, we may have risen to the top, achieved all we could hope for, and there is no longer an avenue for promotion and no opportunity for new challenges. On the other end of the spectrum, we were fired for poor performance…Read More
THE KVETCHER: HOW DO I ROLL WITH THE PUNCHES WHEN EVERYONE AND EVERYTHING IS CONSTANTLY CHANGING?
As the Jefferson Airplane once wisely said: “Life is change.” Something disturbing happened to me last week. My lovely wife Donna and I booked a flight from San Francisco to New York to visit family and friends. We were scheduled to arrive at Newark Airport on a Tuesday evening. Not wanting to drive into Manhattan during rush-hour, we thought…Read More
THE THREE Ps: HOW TO SUCCEED IN BUSINESS (OR ANYTHING) WITHOUT REALLY TRYING- PREPARE PROPERLY and PAY ATTENTION!
THE FIRST P: PREPARE PROPERLY The big day had finally arrived. I was sitting for the NYS Bar examination. I was so nervous, I was shaking, but I knew that it would be OK because I was prepared. Boy, was I ever! Not being the greatest test-taker, I may have overcompensated a bit. I cleared…Read More
COLD CALLING: The scourge of the working world (and how to become a cold-calling machine)!
Cold calls. We hate makin’ em. We hate gettin’ em. And yet they make the world go round. Modern technology has enabled the rise of the robocall. “Spoofing,” or stealing a phone number to make you think you are receiving a call from a known entity, is becoming more and more prevalent. Add this to…Read More
THE OBSERVER: So, what do YOU do?
How does one get their business message across? A pithy elevator pitch and a business card is a good start. My lovely wife Donna is an indefatigable, relentless networker. She can work a room like you would not believe. Consequently, we get invited to all sorts of networking events hosted by local chambers of…Read More
BREAKTHROUGH! (Part 2): Turn failure into SUCCESS
Several months ago, I wrote an article about how success is achieved through perseverance https://www.linkedin.com/pulse/breakthrough-power-perseverance-dlr-associates-recruiting/. It told the story of my battle with the New York Times crossword puzzle, and how I completed it (taking two weeks, no cheating) through sheer persistence. Coming off of that adrenaline high, I started a new puzzle, KNOWING that…Read More
How do you attract top talent? Start with a thoughtful job description!
A few weeks ago, I received a job order from a small financial institution that looked as if it was scratched out on a napkin and hastily put into a Word document. It didn’t go much beyond “Jr. Compliance Officer needed to assist CCO with general compliance duties.” Not even a salary range. I emailed…Read More
THE OBSERVER: Job seekers! How to get noticed by hiring managers and recruiters
I’m guessing I’m not the only headhunter with thousands upon thousands of LinkedIn connections. Deciding to go through my list, I discovered that about half of them were not directly related to my legal and compliance practice. I had friends, family, all kinds of people who had asked me to connect, as well as candidates and hiring…Read More