Sr. Vice President, Director Of Trading And Operations 

How did you get your current job?
A former partner of my prior investment firm got me in contact with the new buyer of this company.

What was the application process?
Not Applicable

Did you have to interview for your current job? If yes, what did the interview process entail?
Mostly live interviews. There were four separate interviews over the course of about 6 months. This was primarily to make sure that I could work closley with the owner and it would be a good fit.

If you can remember, what questions were you asked during the interview?

Do you feel your employer properly prepared you for your job? Explain.
I think this is a tough question because he brought me in to help run the broker/dealer… This is something that neither of us had done.

Was there training for your current position? If yes, what did it entail?
Yes, most of the training is self study. At some of the bigger firms (where I came from) they teach all their new recruits together. At a bare minimum you are required to have 3 licenses to enter the business: NASD series 7, series 63, series 65. However in order to become a director, and a principal, I had to take a large series of tests. I am currently enrolled in two graduate certificate programs with NYIF.

Do you feel your educational background prepared you for your job? Explain.
Yes, I focused on finace and economics in school as well as mathematics and derivatives. Most everthing that was taugh in my core school courses I use in some for or another everyday.

If applicable, do you feel your internship experience helped you prepare for your job?
N/A

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.

What skills do you think a person should have if they want to pursue a position like yours?
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.

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.

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.