We’re Hiring!
Position: Compliance and HR Coordinator
Location: Charlotte, NC
Job Description: We are looking for a Compliance and HR Coordinator to join our firm. This role will help support the execution of the Compliance Program, monitoring compliance procedures for our Municipal Advisory practice and Sales and Trading team. Responsibilities will also include performing a variety of HR tasks. Series 7 license and experience in the financial services industry’s compliance and regulatory areas are desired.
Responsibilities:
- Assist with regulatory examinations and responses to regulatory requests
- Work with business units and management team to maintain a defined set of rules and regulations in compliance matters
- Maintain the firm’s Written Supervisory Procedures (WSP) Manual
- Monitor regulatory updates and document such changes when applicable into the WSP Manual
- Leverage technology and third-party solutions to streamline compliance processes; evaluate existing providers to identify alternatives as needed
- Maintain and update the firm’s Anti-Money Laundering (AML) Policy; perform FinCEN reviews
- Assist with the Annual Supervisory Review and Testing and corresponding CEO certification under FINRA Rules 3120 and 3130;
- Assist with Firm Element (FE) and employee Continuing Education (CE) training associated with regulatory requirements
- Plan annual compliance meetings per regulatory standards and employee self-certifications
- Assist with the firm’s Business Continuity Plan (BCP)
- Monitor TRACE and MSRB trade reports; prepare monthly trade exception report summaries
- Monitor new account activity and confirm required customer documentation is on file
- Initiate and maintain employee and firm registrations with regulatory agencies including annual certifications
- Prepare MSRB G-37 filings for quarterly submission
- Provide disclosures to Municipal Advisor clients per MSRB Rule G-42 and MSRB Rule G-10
- Prepare branch office inspection reports
- Manage documentation of the review and approval process for marketing, advertising, and social media activities
- Assist with management of employee Outside Business Activity (OBA) and statement reviews
- Assist with management of employee electronic communications surveillance
- Manage HR functions including employee onboarding and offboarding processes and employee handbook maintenance
- Support ad hoc special projects and initiatives
Qualifications:
- 5 years of relevant compliance experience
- Series 7 license and willingness to sit for other relevant examinations
- Strong interest in learning new skills and supporting change in the securities industry
- Technical knowledge and desire to embrace use of technology to streamline process
- Excellent verbal, written, and interpersonal communication skills
- High attention to detail and accuracy
- Experience identifying and recommending opportunities for process improvement and risk control development
- Excellent MS Office knowledge (focus on MS Word and Excel)
- Discretion and confidentiality
Compensation:
- Salary depends upon experience and qualifications
- Opportunity to earn year-end incentive compensation
- Benefits package including medical, dental, vision, 401(k) and life insurance
- Paid holidays
- Flexible time off (with manager approval)
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Position: Analyst/Associate/Vice President – Public Finance Junior Advisor
Location: Annapolis, MD
Job Description: This individual will serve as junior-level support to senior advisors within our firm.
Responsibilities:
- Proactive management of deal and pricing process
- Teaching and assisting juniors and peers
- Preparation of presentations/proposals/letters/memos in PowerPoint and Word
- Sharing ideas and useful information with colleagues
- Performing bond calculations in Munex or DBC
- Formulating, building and utilizing FTA’s propriety Excel models
- Developing an in-depth understanding of the municipal industry
- Regular and professional interaction with clients
- Understanding and following industry regulations
- Maintaining updated records in DealCloud
Qualifications:
- Organized, proactive, detail oriented and accurate work style
- Quick learner with strong communication and teaching skills
- Advanced knowledge of Excel, Word, PowerPoint, Teams
- REQUIRED: Knowledge of DBC/Munex, financial modeling, credit analysis
- REQUIRED: Minimum of one year public finance industry experience
Compensation:
- Salary depends upon experience and qualifications
- Opportunity to earn year-end incentive compensation
- Benefits package including medical, dental, vision, 401(k) and life insurance
- Paid holidays
- Flexible time off (with manager approval)
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Position: Director/Managing Director – Public Finance Senior Advisor
Location: Annapolis, MD or Remote
Job Description: This individual will serve as a senior advisor within our firm.
Responsibilities:
- Marketing to and earning the business of prospective clients
- Leading client relationships
- Directing the client/deal process
- Assigning deal work, proposals, presentations to junior bankers
- Teaching and directing junior bankers
- Directing the preparation of expert quality presentations/proposals/letters/memos
- Sharing ideas and useful information with colleagues
- Formulating insightful financial analyses in DBC (delegated)
- Oversight of pricing process and analysis
- Ability to direct creation of FTA’s propriety Excel models (capital planning, pricing)
- Demonstrating an in-depth understanding of the municipal industry
- Providing meaningful feedback to offering and bond documents and knowledge of what they should contain
- Understanding and following industry regulations
- Public speaking and conference attendance
Qualifications:
- Organized, proactive, detail oriented and accurate work style
- Strong communication and teaching skills
- Knowledge of Excel, Word, PowerPoint, Teams
- Ability to direct juniors in DBC, financial modeling, credit analysis
- Expert knowledge of the public finance industry
Compensation:
- Salary depends upon experience and qualifications.
- Opportunity to earn year-end incentive compensation.
- Benefits package including medical, dental, vision, 401(k) and life insurance.
- Paid holidays.
- Flexible time off (with manager approval).
Equal Opportunity Employer:
First Tryon Advisors is an equal opportunity employer. We do not discriminate on the basis of age, race, gender, sexual orientation, gender identity, religion, national origin, disability, or any other non-merit factor in our employment practices such as hiring, promotion, termination, layoffs, training and internships. Our hiring decisions are based upon merit, qualifications, and our business needs.
To be considered for these positions, please email your resume, recommendations and cover letter to: wgoldsmith@firsttryon.com and wienk@wyeriver.com.
