OCR – What Is It, and How Will It Impact Me?

OCR – What Is It, and How Will It Impact Me?  
Monday, June 16, 2014
The Union League Club of Chicago
65 West Jackson Boulevard
Main Lounge
Chicago, IL 60604
The panel will discuss the requirements in the new Ownership and Control Reporting (OCR) rules, a project to facilitate reporting and other recent developments. The discussion will include the challenges faced and possible solutions firms have explored as well as the recent CFTC meetings.
Mary Ann Burns, Executive Vice President & Chief Operating Officer, FIA
Mary Beth Rooney, Director, Futures/Derivatives Clearing Compliance, Citigroup Global Markets
Mark Fabian, Vice President of Market Regulation, ICE Futures U.S.
Jim Moran, Executive Director, Strategic & Technology Initiatives, CME Group, and Chief Compliance Officer, CME SEF

Ryan Olszewski, Compliance Officer, Regulatory Reporting, Newedge USA

Kathryn Trkla, Partner, Foley & Lardner
Additional speakers to be announced

3:30 p.m. – Presentation
5:00 p.m Networking. – Cocktails & Hors d’oeuvres
6:00 p.m. – Event Concludes

$35.00 per FIA Chicago Division Member
$45.00 per Non-division Member
Information: Contact Mary Freeman, FIA at (202) 772-3033 or mfreeman@fia.org. Dress for The Union League Club is business casual (no jeans please). Online registration will close at 1:00 p.m. Eastern on Thursday, June 12, 2014.
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Title: Compliance (Contract) (502-79431)

Title: Compliance (Contract) (502-79431)
Location: Chicago, IL
Dates: Start ASAP
Compensation: Depends on experience

Ensure that applicable policies and procedures, including written supervisory procedures and manuals, are current and accurate to reflect the firm’s business practices and processes, and are being implemented and documented
Participate in firm-wide compliance program requirements, including monitoring and address information barrier issues, conflicts of interest, restricted trading list, and employee disclosures
Perform comprehensive compliance reviews and risk assessments of business activities, practices and controls; identify and mitigate potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution of problematic issues; provide guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future
Participate in existing compliance surveillance efforts, including testing and reporting results to management
Conduct reviews of employee disclosures and affirmations, including gifts and entertainment, political contributions, and outside activities
Manage regulatory reporting related to US ownership/investment management limits and other regulatory filings (e.g., Forms U4/U5, Forms 13G and 13F, Rule 17h, ORSA)
Assist in assessing new and existing vendor solutions, performing cost-benefit analyses, and managing vendor changes and service enhancements
Assist in the maintenance of required books and records, both paper and electronic; enhance recordkeeping organization

At least five years of relevant compliance experience, ideally across multiple regulated businesses
Strong working knowledge of U.S. regulatory rules and interpretations for broker-dealers and investment advisors, including but not limited to, CBOE, SEC, and FINRA Rules, the ’40 Act, and the Advisors Act
Experience with the following applications/vendors is preferred: Compliance11, Central Registration Depository (CRD), Smarsh
Ability to seek interpretations, and provide guidance on non-routine and often complex matters
Effective leadership, superior interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters
Exceptional verbal and written communication skills; ability to communicate at all levels
Highly motivated with capability to work with minimum supervision on a wide range of matters
Proactive individual with strong deadline focus and extraordinary attention to detail
Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential
Very strong analytical skills (understanding of complex regulatory requirements with ability to apply to supported businesses)
Flexibility to work frequent extended hours as needed

If you or someone you know are interested in the role, please promptly respond to this email and attach a copy of your resume.


Zach Stierhoff
BCI – Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x 102

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Associate, Investment Marketing (872-017-711)

Title: Associate, Investment Marketing (872-017-711)
Location: Chicago, IL
Compensation: Commensurate with experience

Global institutional investment management firm seeks an Associate to join their team in a marketing role responsible for the development/review as well as production/updating of all collateral materials used by the sales/consultant/relationship management teams.  Will include strategy presentations/finals presentations/client review presentations/strategy overviews/strategy factsheets/thought leadership papers/firm overview. Great opportunity for someone with confidence who wants to take ownership of the process, offer thoughts/opinions and learn a lot about the business.

Work closely with portfolio managers/client portfolio managers/product specialists to develop key messages and appropriate presentation of investment strategies in collateral materials
Depending on experience level, either lead/contribute to the development of key messages/presentations; goal is to develop requisite skill set to lead the process
Work closely with RFP Coordinator/Consultant Database Manager to ensure presentation of strategies is consistent across all platforms
Work closely with senior sales/relationship professionals to ensure all supporting materials are fit for purpose/target market
Manage compliance process for collateral materials used in the region, including those delivered from outside the Americas
Coordinate with global counterparts to deliver collateral materials overseas and vice versa
Manage the archive of all collateral in a way that can be easily monitored/audited
Ensure that only approved/updated materials are delivered to the market
Manage timetable for updating/changing collateral materials to ensure most efficient use of firm resources

Minimum of 2 years of experience in a similar role in a financial setting
Experience in an asset management environment is strongly preferred
Must be able to handle pressure well, work under tight deadlines and manage multiple and sometimes competing requests
Exceptionally strong writing/editing skills; attention to detail is critical
Ability to work well with senior investment/sales professionals and to reconcile conflicting points of view
Must have a foundational understanding of asset management, the capital markets, investment processes and the sales process
Willingness and aptitude to expand that knowledge is critical

If you or someone you know are interested in the role, please promptly respond to this email and attach a copy of your resume.


Zach Stierhoff
BCI – Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x 102

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How to Achieve Good Retail Data that Creates Value

How to Achieve Good Retail Data that Creates Value Dominic Sartorio, Informatica and Jie Wu, Informatica
Wednesday, June 04, 2014 11:00 am PT / 2:00 pm ET

In this webinar learn about the new capabilities Informatica Data Quality offers and how this tool helps address specific challenges faced by the retail industry… Learn more >>

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Webcast: Transparent pricing for accounting disclosures, due diligence & daily price challenges

Do not miss Inside Reference Data’s FREE webcast entitled ‘Transparent pricing for accounting disclosures, due diligence and daily price challenges’

Date: Wednesday, June 4, 2014
Time: 10am New York time / 3pm London time
Duration: 60 mins (maximum)

Register for FREE at: http://emails.incisivemedia.com/c/12wKXb6dJc0SjyKV9ONDqDjhOVY

Our expert speakers will discuss how financial firms’ requirements for transparency vary for accounting disclosures, due diligence and the daily price challenge process, the effect of regulations, how can data vendors help financial institutions meet the changing requirements …and much more!

The expert panel leading the discussion include:

– Daniel Johnson, Director, Valuation, WELLS FARGO GLOBAL FUND SERVICES
– Anthony O’Connor, Head of Product Management – OTC Pricing and Risk, HSBC
– Greg Carlin, Vice President, Securities Evaluations, S&P CAPITAL IQ
– Jayme Fagas, Global Head of Valuations & Transparency Pricing and Reference Services, THOMSON REUTERS
– Moderator: Nicholas Hamilton, Deputy Editor, INSIDE REFERENCE DATA

Register for FREE at: http://emails.incisivemedia.com/c/12wKXbO6vZKV83oHlViUKui2zVx

Please feel free to forward this email onto any friends or colleagues who you feel may be interested.

I hope you can join us.

Kind regards,
Nicholas Hamilton,
Deputy Editor,

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Technical Lunch and Learn with Microsoft and Mellanox

Connect with us:  Follow the Mellanox Cummunity  Connect with Mellanox on Facebook  Follow Mellanox on Twitter  Connect with Mellanox on Google +  Watch Mellanox on YouTube  Network with Mellanox on LinkedIn

Fastest Storage for SQL Server and Private Cloud

Hello Larissa J.,
Attend this lunch-and-learn seminar to learn how using Windows Server 2012 R2 and SMB Direct make your SQL Server and Hyper-V private cloud deployments more efficient. Using Remote Direct Memory Access (RDMA) makes your Windows storage more scalable, more efficient, and faster, letting you drive more transactions in less time at a lower cost. Click Here for more info.

Date: Thursday, June 12, 2014
Time: 11:30am to 1:30pm
Location: Microsoft Technology Center in Chicago, IL


Kevin M. Gates, Technical Director, Microsoft Technology Center
John Kim, Director of Storage Marketing, Mellanox Technologies
Dan Rey, Technical Architect, Windows Client and Hyper-V


Enjoy a tasty lunch and presentations from Mellanox and Microsoft. Attend for a chance to WIN a $20 Starbucks Gift Card or a Microsoft Surface tablet.

The Mellanox Technologies Team

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Webinar: SaaS Business Models: Keys to Success


As a reminder, you are invited to join us June 3rd at 12pm Eastern / 9am Pacific for a live webinar where Rich Mironov of Mironov Consulting will discuss the keys to developing a successful SaaS business model. Whether you are planning to develop a new SaaS offering or making the transition from an on-premises solution there are many factors to consider.

In this webinar, we will discuss:

  • Software-as-a-Service versus Licensed Software
  • Pricing Tiers
  • User Experience and Continuous Marketing
  • Service Metrics and Infrastructure Requirements

Rich Mironov, the founder of P-Camp (Poduct Camp) and a serial entrepreneur, has an extensive background as a founder/CEO, VP Product Management and VP Marketing. His vast experience as an agile “product guy” includes expertise in go-to-market strategies and developing successful SaaS business models. In the past, Rich has served on the board of the Silicon Valley Product Management Association.

Date: Tuesday, May 3
Time: 12pm ET / 9am PT

Register Now

Even if you are unable to attend, please register and a recording will be distributed following the live event.

Jessica Sprinkel
Account Executive
Logi Analytics, Inc.


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