1. Employment Profile: What exactly does a Sr. Vice President, Director of Trading and Operations, Registerd Options and Securities Futures Principal do? |
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 What field is your job in?
I am a Trader. I focus on Trading derivatives on Stocks and Index Securities
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What is your job title?
Sr. Vice President, Director of Trading and Operations, Registerd Options and Securities Futures Principal
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Please provide a brief description of the firm or organization that you currently work for
(size and general description of what type of organization it is)
I work for a 30 year old Broker/Dealer. We are a small firm with 5 core employees (including me) and 15 representatives.
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How long have you been employed in this position?
3 Years
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How many hours do you work a week on average?
60-80 Hours
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Please provide a BRIEF description of your duties and responsibilities. (job description)
My responsibilites include the supervision of all trading and trade personnel at the firm. I do active research, analysis, and trading of derivatives. I am also the Chief Financial Officer, so I work on preparing reports for our regulators.
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What was your gross income last year? Please include any bonuses or incentives received.
84,000.00
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What is your expected gross income for this year? Please include any bonuses or incentives you expect to receive.
104000
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Please
list any benefits you have (Please include number of weeks vacation,
sick leave and type of health insurance, retirement plan 401k)
3 weeks vacation, 1 weeks sick, PPO Health Insurance, HSA Account, Life Insurance, Gas, Parking
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Do you feel you are under/well/over compensated at your current position?
I believe that for the size firm I am in, I a well compensated, however compared to the industry, I believe I am under compensated
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2. Work environment! |
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Does
your job entail you working with others on a daily basis? Is this
something you like/dislike about your job? Explain
Yes, I am responsible for 3 people who are my direct subordinates. I enjoy working with others, especially my traders.
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Do you work collaboratively with supervisors/managers?
Yes
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Do you work collaboratively with your co-workers?
No
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Describe
your work location (e.g., office, home, theatre, in the field) and what
you like/dislike about working in it
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Please rank in order of importance from 1-8 (1- most important 8- least important) Assign each number once.
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2 Income
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6 Work Environment - co-workers
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5 Work Environment - supervisors
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7 Benefits
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8 Hours
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1 Level of responsibility
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4 The actual "work" you do at your job
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3 Job Title
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3. How should someone new to the workforce get a J-O-B like yours? |
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If someone wanted to go about getting a job similar to yours, what would you recommend for him or her to do?
They should look into an internship with a securities firm. The should familiarize themselves with the required tests that they must take before becoming registered to make sure that this is something they can do. The licensing exams can be quite difficult.
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What
skills do you think a person should have if they want to pursue a
position like yours? Please be specific and explain why (e.g., social
skills, organization skills, technical skills)
They must have good mathematical skills, because a lot of what we do, especially in deritvatives and institutional trading is math based. (A strong knowledge of statistics and calculus) They also must have excellent social skills, as they will be constantly in communication with co-workers and customers of the firm. They need to have strong organizational skills as well. In a business like this, there is always a chance of a lawsuit and you must have notes and documents to prove your side.
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Do you feel that you need a certain level of education or training to be successful in your job?
Absolutley, you must have a knowledge of finance and economics.
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What advice would you give to someone who was about to start work in your position/ line of work?
Make sure you like what you are doing. It is a lot of hard work, lots of studying, LONG HOURS, and a rough road at first. This is not for someone who is not in love with this work.
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