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PEOPLE MATTER.

Everything we do begins with people. That's why we value the human element – curiosity, insight, intuition.

We are constantly on the lookout for exceptionally skilled talent in the functional
areas of:

• Investment Research
• Marketing
• Client Service
• Trading
• Systems and Technology

Please introduce yourself to us if you have particular expertise or skills to contribute to our team.

 

We are now seeking qualified candidates for the following specific opportunities:

DERIVATIVES DOCUMENTATION SPECIALIST
ASSOCIATE, SR. COMPLIANCE OFFICER
ASSOCIATE, PORTFOLIO IMPLEMENTATION
RESEARCH ASSOCIATE
RESEARCH ASSOCIATE – INVESTMENT SPECIALIST
SENIOR SOFTWARE DEVELOPER

 

DERIVATIVES DOCUMENTATION SPECIALIST

Legal & Compliance

Summary Job Description:

Assist the General Counsel & Chief Compliance Officer in the drafting and negotiation of a wide and interesting range of derivative products. This includes futures, options, forwards and currencies. Familiarity with the ISDA and CSA as well as collateral management and risk is essential and extensive experience of unsupervised negotiation of derivative products is desirable. The ability to efficiently handle a wide range of ancillary legal matters relating to derivatives
will be an advantage.

Below is a partial list of duties for this position:

• Negotiating ISDA & CSA terms
• Monitoring of ISDA operational terms
• Liaising with Trade Operations to ensure accurate management of collateral
• Monthly and quarterly tracking of ISDA documents to be delivered
• Daily communication with Risk Management regarding counterparty risk levels

Experience and Education:

• An undergraduate degree with a minimum of 3 to 5 years of prior experience in negotiating derivatives contracts for a broker/dealer or investment management company
• Qualified attorneys may apply, but admission to a state bar is not required for this position
• Familiarity with the above captioned derivative products is important although a certain amount of specific on-the-job training will be provided
• Working knowledge and experience in rules and regulations involving investment management firms preferable
• Possess familiarity with basic trade support and collateral management processes
• Although not an absolute requirement, possess some knowledge of global equities and derivatives (futures, options, forwards and currencies)
• Have general familiarity with software applications (trading, portfolio accounting, etc.) used by investment managers
• Must be committed to staying on top of changes in regulatory and technical rules pertaining to derivatives

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ASSOCIATE, SR. COMPLIANCE OFFICER

Legal & Compliance

Summary Job Description:

Assist the General Counsel & Chief Compliance Officer in administering First Quadrant's compliance program as mandated by the SEC, CFTC, NFA and other foreign regulatory authorities that oversee the activities of First Quadrant in those countries.

Below is a partial list of duties for this position:

• Develop, monitor and update compliance policies and procedures applicable to investment advisers and industry best practices
• Review marketing materials and ensure GIPS compliance
• Conduct compliance training as appropriate for new and existing personnel
• Prepare SEC and other regulatory filings (i.e., Form ADV, other registrations and renewals)
• Monitor industry and compliance updates, pending regulatory changes and work to implement updates and continuing best practices
• Coordinate regulatory examinations (e.g., SEC and NFA) and provide support for third party audits (e.g. SAS 70 review)
• Provide interpretation and guidance on rules and regulations
• Administer compliance of personal securities transactions
• Conduct in-house reviews to test compliance policies and procedures and coordinate follow-up action
• Prepare and maintain employee registrations with the NFA
• Perform special compliance related projects and assist with other compliance items as needed

Experience and Education:

• An undergraduate degree with a minimum of 5 to 8 years of prior experience in handling investment compliance and/or audit responsibilities
• Working knowledge and experience in rules and regulations involving investment advisory firms subject to the SEC "40 Act," as well as ERISA guidelines and rules affecting plan sponsors and investment advisors, including the ability to effectively interpret and apply these rules to the Firm's business
• Possess familiarity with the basic operating areas of an investment advisor including (1) Trading and Trade Support functions, (2) Portfolio Accounting and (3) Marketing as it relates to the advertisement and presentation of the Firm's products
• Although not an absolute requirement, possess some knowledge of global equity and derivative (futures, forwards, options) securities managed by the Firm in client portfolios
• Have general familiarity with software applications (trading, portfolio accounting, etc.) used by investment advisors
• Must be committed to staying on top of changes in regulatory and technical rules involving current and future aspects of the Firm's operation

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ASSOCIATE, PORTFOLIO IMPLEMENTATION

Trade Operations

Summary Job Description:

The Associate, Portfolio Implementation supports the Investment Management team in the operational processes associated with portfolio construction and implementation across all product groups (e.g. equities, futures, and currencies). The Portfolio Implementation team works closely with all areas of the firm, including Research, Trading, Risk, Compliance, Investment Technology, Accounting, Compliance, and Client Services.

Below is a partial list of duties for this position:

• Transition and rebalance portfolios using various systems, models, and optimization methods
• Monitor risk exposures resulting from portfolio structure changes
• Respond to client and portfolio management queries
• Ensure client accounts adhere to guidelines set forth in IMA agreements
• Perform trade staging across asset classes, strategies, and portfolios
• Cash and collateral management for funds and separately managed accounts
• Oversee client contributions and redemptions.
• Administer corporate actions and monitor external market data changes
• Support client-facing groups in research and responses to RFPs and ad-hoc requests
• Participate in testing and/or implementation of operational process improvements, technology-based solutions, and  portfolio implementation methodologies
• Assess and improve, where necessary, processes and procedures to promote optimal operational efficiencies and assist in the implementation of straight-through business processes
• Engage in project planning and implementation of departmental and firm-wide initiatives

Experience and Education:

• Minimum BA/BS with minimum 3 years financial industry or equivalent academic experience; buy-side experience is preferred
• Knowledge of global equities, futures and FX markets, in addition to market practices and regulations
• Working knowledge of portfolio construction techniques
• Ability to work effectively in a fast-paced environment to support real time and market demands
• Capable of working both independently and as an effective team member and demonstrating sound judgment
• Excellent communication and quantitative skills
• Capacity to work effectively and efficiently on multiple projects simultaneously in a fast-paced, fluid environment
• Strong organizational skills, including the ability to prioritize numerous projects
• Proficiency in Microsoft applications including Excel, Bloomberg API skills; knowledge of Perl, Python, and UNIX desirable

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RESEARCH ASSOCIATE

Research

Summary Job Description:

The Research Associate will have up to 2 years of relevant experience with demonstrated quantitative, technical and research skills. (S)he will work with a team of researchers to develop and enhance infrastructure projects and participate in their research endeavors and development of new and existing investment products.

Below is a partial list of duties for this position:

• Write and maintain code that supports other research projects and ongoing research functions
• Gather, verify, perform quality assurance upon, manipulate, summarize and present data
• Run historical product simulations, recommend constraints that will enhance account guidelines and constraints to achieve optimal investment performance, and interpret and present performance results of simulations and live portfolios
• Perform various support tasks such as library work and spreadsheet work
• Some individual research projects may be undertaken initially and increase over time

Experience and Education:

• Bachelor or advance degree is preferred with extensive coursework in math, finance, probability, statistics, mathematical finance and/or economics
• A fundamental knowledge of financial concepts and instruments (e.g., Credit instruments, CDS, CDO, commodities, volatility, options, stochastics, optimization, Bayesian, etc.) is required
• Strong programming skills – must have PERL or Python and R or SAS. Working knowledge of Matlab, Octave or C/C++ is desired. Ability to write, organize and maintain mid-size bodies of production code is required. It is required that code is well documented, well commented, and well organized
• Strong quantitative and math skills including statistics, probability, time series analysis, optimization and stochastic calculus
• Must have extensive database experience – e.g., setting up complex queries and some background in performance tuning and design
• Ability to acquire and digest technical information related to basic financial concepts and theories as well as information related to financial instruments on one's own without the help of others
• Strong reasoning and analytical capabilities are required. Must be able to grasp logic inherent in key financial theories, to construct logical arguments related to both empirical questions and the interpretation of empirical results, and to engage in mathematical reasoning in the form of a mathematical proof

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RESEARCH ASSOCIATE –  INVESTMENT SPECIALIST

Marketing

Summary Job Description:

The purpose of this role is to analyze the investment process and performance of the firm's strategies, and to communicate it to clients and internal groups. This role will assist in the production of research papers on market trends and other topics of interest to investors. This role will develop a high degree of understanding of the investment process, and will be able to assist clients in determining how best to use the firm's products.

Below is a partial list of duties for this position:

• Conduct analysis of financial markets and investment portfolios

• Assemble market and portfolio data – e.g., performance attribution, portfolio characteristics, etc, on a systematic basis
• Identify key drivers and themes
• Communicate findings to clients and internal groups verbally and in writing – e.g., prepare client commentary on a quarterly and/or annual basis, or as needed
• Conduct research on topics of interest to clients
• Support sales and marketing effort by preparing presentation materials including marketing standard and prospective client materials
• Participate in the preparation of RFPs and presentations to prospects and consultants
• Prepare white papers

Experience and Education:

• MBA or equivalent advanced degree and/or CFA

• Minimum 5 years of finance industry experience
• Must have a strong interest in financial markets, economics and the financial services industry
• Excellent writing skills are critical
• Strong mathematical and analytical skills, including statistics, are required
• Strong programming skills in of SAS, Matlab or a similar language is required.  Advanced knowledge of Excel is required

• Strong reasoning and analytical capabilities are required.  Must be able to grasp logic inherent in key financial theories

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SENIOR SOFTWARE DEVELOPER

Investment Technology

Summary Job Description:

This is a full time position within our Investment Technology programming team which supports First Quadrant's in-house business applications. These applications are vital to many critical business functions, including Trading, Investment Research, Portfolio Accounting, Trade Operations, and Client Services. This position provides excellent exposure to the financial services industry.

Below is a partial list of duties for this position:

• Design, develop, test, and implement software programming applications and solutions
• Consult with users to define requirements, identify current operating procedures and clarify program objectives
• Write documentation to describe program development, logic, coding and corrections
• Support the testing process and identify/implement automation to streamline the process
• Provide assistance in resolving user support inquiries

Experience and Education:

• BS in Computer Science or a related field or equivalent work experience is preferred
• 5 to 7 years of relevant experience
• Solid understanding of algorithms and data structures
• Proficient with Python, Perl or similar language – proficiency with Java is a plus
• Strong understanding of database programming (stored procedures, triggers, etc.)
• Familiarity with the Unix/Linux environments
• Experience with a financial services firm is a plus

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