Alternative Net Capital Specialist Manager

5 days ago


Chicago, Illinois, United States Financial Industry Regulatory Authority Full time
Job Summary

We are seeking a highly skilled Alternative Net Capital Specialist Manager to join our team at the Financial Industry Regulatory Authority. As a key member of our organization, you will be responsible for planning, supervising, and conducting examinations to assess member firms' risk management frameworks and evaluate systems, procedures, and internal controls established to effectively manage market, credit, and liquidity risks.

Key Responsibilities
  • Assess member firms' compliance with the SEA Rule 15c3-1(Appendix E) and other applicable rules and regulatory requirements.
  • Evaluate systems and procedures for the establishment and implementation of comprehensive internal controls to effectively manage risk.
  • Review, analyze, and test member firm systems (front, middle, and back office) used to capture, aggregate, and measure market, credit, and liquidity exposures, limits, and associated risks.
  • Manage direct reports' performance on an annual basis and schedule and staff exams.
  • Review and approve risk reviews and all exam-related reports and letters.
Requirements
  • Bachelor's Degree or an equivalent combination of education and experience required.
  • Major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics, or related fields preferred.
  • Moderate experience managing projects and/or people.
  • Advanced knowledge of FINRA's risk fundamentals, securities rules and regulations, and firm business models.
What We Offer

We offer a comprehensive benefits package, including health, dental, and vision insurance, basic life insurance, accidental death and dismemberment insurance, supplemental life insurance, and short- and long-term disability insurance. We also offer a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.

Please note that this job description is not intended to be a comprehensive list of all duties, responsibilities, and qualifications required. We are an equal opportunity employer and welcome applications from diverse candidates.



  • Chicago, Illinois, United States Northern Trust Full time

    About Northern TrustNorthern Trust is a leading global financial institution with a rich history dating back to 1889. As a Fortune 500 company, we have established ourselves as a trusted partner for individuals, families, and institutions seeking innovative financial solutions.Our commitment to service, expertise, and integrity has earned us a reputation as...


  • Chicago, Illinois, United States Northern Trust Full time

    About Northern Trust:Northern Trust is a leading global financial institution that has been in operation since 1889. The company provides innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to its enduring principles of service, expertise, and integrity. With over 130 years of...

  • Product Specialist

    4 weeks ago


    Chicago, Illinois, United States Principal Financial Group Full time

    About the RoleWe are seeking a highly skilled Product Specialist to join our Global Wealth Alternatives team. As a key member of our team, you will work closely with our Senior Managing Director to establish and lead efforts related to market research, product development, and vehicle launch.Key ResponsibilitiesCollaborate with distribution team members to...

  • Business Analyst

    1 day ago


    Chicago, Illinois, United States JLL Full time

    Key ResponsibilitiesAs a Business Analyst on our Corporate Capital Markets & Single-Tenant Net Lease Team, you will be responsible for preparing property offering packages and submissions for commercial real estate transactions. This includes research, financial modeling, and composition of executive summaries.You will also be responsible for complex...


  • Chicago, Illinois, United States Neuberger Berman Full time

    Job SummaryThe Alternative Investment Product Specialist will work closely with Neuberger Berman's Investment, National Accounts, and Intermediary Sales teams to educate them about Alternative offerings. This role involves one-on-one and group presentations, conference calls, and coordination and preparation of strategy materials and white papers. The...


  • Chicago, Illinois, United States The Charles Schwab Corporation Full time

    Unlock Your Potential as a Senior Manager, Alternative Investment ConsultantJoin The Charles Schwab Corporation in shaping the future of wealth management. As a Senior Manager, Alternative Investment Consultant, you will play a pivotal role in delivering exceptional client experiences and driving innovation in the private alternative investment...


  • Chicago, Illinois, United States GEM Realty Capital Full time

    Job Title: Associate, Equity Capital MarketsGEM Realty Capital is a leading real estate investment firm with a strong presence in the US market. We are seeking a highly motivated and proactive Associate to join our Equity Capital Markets group, which is responsible for capital raising, new fund launches, investor services, and reporting.Key...


  • Chicago, Illinois, United States Neuberger Berman Group LLC Full time

    Job SummaryThe Alternative Investment Product Specialist will collaborate with Neuberger Berman Group LLC's Investment, National Accounts, and Intermediary Sales teams to educate them about Alternative offerings, advocate for, educate, and sell Neuberger Berman Group LLC's Alternatives suite of products.Key ResponsibilitiesDevelop a deep understanding of...


  • Chicago, Illinois, United States Capital One Full time

    Unlock Business Potential with Capital OneCapital One is seeking a highly motivated and results-driven Business Development Manager to join our team. As a key member of our sales team, you will be responsible for identifying and building new business opportunities in your assigned territory.Key Responsibilities:Develop and execute a go-to-market business...


  • Chicago, Illinois, United States Cabrera Capital Markets Full time

    {"Job Summary We are seeking a highly skilled Vice President of Capital Raising to join our team at Cabrera Capital Markets. The successful candidate will be responsible for leading and managing the execution of capital raising transactions, working closely with senior bankers to develop financing strategies for clients, and analyzing industry and market...


  • Chicago, Illinois, United States Monroe Capital LLC Full time

    Job SummaryWe are seeking a highly motivated and experienced Capital Markets professional to join our team at Monroe Capital LLC. The ideal candidate will have a strong understanding of leveraged finance transactions and market deal terms, with a proven track record of success in creating marketing materials, working on legal grids, and tracking syndication...


  • Chicago, Illinois, United States Cabrera Capital Markets Full time

    Job Title: Vice President Capital MarketsCabrera Capital Markets is seeking a highly skilled and experienced Vice President to join our team in Chicago, IL.Job Summary:The successful candidate will lead and manage the execution of capital raising transactions, work closely with senior bankers to develop financing strategies for clients, and analyze industry...


  • Chicago, Illinois, United States Monroe Capital Corporation Full time

    Job SummaryWe are seeking a highly motivated and experienced professional to join our Capital Markets team at Monroe Capital Corporation. As a key member of our team, you will play a critical role in driving our syndication efforts, working closely with our Capital Markets team to create marketing materials, track syndication progress, and distribute...


  • Chicago, Illinois, United States Monroe Capital Corporation Full time

    Job SummaryWe are seeking a highly skilled and experienced professional to join our Capital Markets team at Monroe Capital Corporation. The ideal candidate will have a strong background in leveraged finance transactions, market deal terms, and credit analysis.Key ResponsibilitiesWork closely with the Capital Markets team to create syndication marketing...


  • Chicago, Illinois, United States GEM Realty Capital , Inc. Full time

    Capital Markets AssociateGEM Realty Capital, Inc. is a leading real estate investment firm with a strong presence in the US market. We are seeking a highly motivated and proactive Capital Markets Associate to join our Equity Capital Markets group.Key Responsibilities:Actively participate in marketing and fundraising efforts to identify and engage with key...


  • Chicago, Illinois, United States GEM Realty Capital , Inc. Full time

    About GEM Realty Capital, Inc.GEM Realty Capital, Inc. is a strategically integrated real estate investment firm with a significant presence in the U.S. market. Founded in 1994, the company has a collaborative and entrepreneurial culture that rewards hard work and integrity, providing opportunities for professional growth.Job SummaryWe are seeking a highly...


  • Chicago, Illinois, United States Wilmington Trust Full time

    Job Summary:We are seeking a highly skilled Global Capital Markets Trust Administrator to join our team. As a key member of our trust administration team, you will be responsible for providing exceptional client service and support to our high net worth private and institutional clients.Key Responsibilities:Assist with the administration of Global Capital...


  • Chicago, Illinois, United States Hayfin Capital Management Full time

    About Hayfin Capital ManagementHayfin Capital Management is a leading alternative asset management firm with a strong presence in the global market. With a diverse team of over 200 professionals and a presence in multiple regions, Hayfin focuses on delivering attractive risk-adjusted returns for its investors.Job SummaryWe are seeking a highly motivated and...


  • Chicago, Illinois, United States Capital Group Full time

    Unlock Your Potential as a Consultant Relationship Specialist at Capital GroupAs a Consultant Relationship Specialist at Capital Group, you will play a critical role in representing our Institutional Investment Services to the largest institutional consultants and OCIOs. Your expertise in gathering information, synthesizing it, and presenting it in a concise...


  • Chicago, Illinois, United States GEM Realty Capital , Inc. Full time

    About GEM Realty CapitalGEM Realty Capital is a leading real estate investment firm with a strategic approach to investing across all four quadrants of U.S. real estate. With approximately $6 billion in assets under management, we leverage our extensive experience to anticipate market shifts and identify compelling investment opportunities.Role OverviewWe...