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,…

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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…

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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…

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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…

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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…

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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…

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