June 14, 2018 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Enjoy! 

This Issue’s Topics:

  • LICCAR Job Opening – Business Development Associate
  • REMINDER: FREE: Investment Network’s Digital Assets Working Group (DAWG) Meeting
  • WDCCRT Webinar: Hot Topics in Securities Compliance
  • FinTank: WealthTech 2018
  • 100 Women in Finance: Talking About Start Ups: Rooftop Round Robin
  • FREE: Chicago Bar Association (CBA) Investment Management Subcommittee Meeting

Job Opportunities

Business Development Associate
Chicago, Illinois

LICCAR is a licensed boutique; full service public accounting firm specializing exclusively in the securities/futures industry with a diverse global clientele.

Primarily comprised of experienced CPAs and MBAs, we currently serve a wide variety of Hedge Funds, Commodity Pools, Private Investment Funds, Commodity Trading Advisors, Registered Investment Advisors, and Broker/Dealers as well as assist clients with Introducing Brokers and Futures accounting, fund administration, tax, systems and regulatory matters.

Benefits: Competitive pay + commission, 401(k), discretionary profit sharing plan, and robust insurance coverage that is ranked well above the norm for the private sector. Company pays nearly 83% of the cost of premiums for medical, dental, vision and 100% paid disability programs and life insurance; Paid work lunches during the busy season (January through April). We provide employees lunches from a pre-selected, rotating menu.

Job duties summarized: Developing new leads, preparing requests for proposal and managing the lead generation process from introduction to closure; fostering current relationships; analyzing data bases of potential clients in the space; preparing and delivering brochures to potential clients; maintaining knowledge of industry trends; attending industry meetings and conferences; collaborating effectively with the firm’s staff; achieving sales metrics including meetings and revenue goals; during slower sales periods we would ask that the associate learn and understand hedge funds to get a complete overview of not only the development side but also other aspects of the firm’s business.

Job requirements include: Bachelor’s degree in Finance, Communications or similar; direct sales experience preferred; perform prospecting, referral building and relationship development for new accounts; 1-3+ years of hedge fund, financial services, operations, prime brokerage or marketing experience preferred but not mandatory; knowledge of financial products including, but not limited to – futures and options on futures, equities, options, fund of funds, fixed income, currencies, futures, derivatives, and private equity; knowledge of hedge fund structures and the overall fund industry; experience working closely with senior-level management; able to effectively communicate, build relationships with clients, potential clients and team; multi-task and possess clear verbal skills; preparing and leading client presentations; significant degree of self-motivation, direction and integrity; ability to work in a small boutique environment; self-initiative, positive attitude, independence and adaptability; and strong ability to multi-task and prioritize workflow.

For more information, contact Vishal N. Shah, (312) 506-2048 or vshah@liccar.com.


REMINDER: FREE: Investment Network’s Digital Assets Working Group (DAWG) Meeting

Thursday, June 21, 2018, 12:15-1:00 PM

191 N. Wacker Dr., 10th Floor Conference  Center, Conference Room A, Chicago, IL

Join us for a discussion on how to launch an STO (securities token offering – i.e., a compliant ICO) and crypto related compliance and enforcement considerations.

Speakers: Nicole Kalajian, Stradley Ronon; Greg DiMeglio, Stradley Ronon; Tom Hanley, Stradley Ronon; and Erik Schlesinger, Alpha Consulting.

CLE credit has been applied for and is pending.

Bring your own lunch.  Contact Kathy Petrusek (kpetrusek@stradley.com) to RSVP or accept the calendar invite that was previously sent out to DAWG members. If you are not a current DAWG member, but want to become one, please let Nicole Kalajian (nkalajian@stradley.com) know.

Washington DC Compliance Roundtable (WDCCRT) Webinar: Hot Topics in Securities Compliance

Friday, June 22, 2018, 11:00 AM-12:00 PM

Join us for a discussion on the most recent hot topics in securities compliance.  We will cover many of the compliance questions raised by the SEC Compliance Outreach of April 12, 2018, including CCO liability matters, financial exploitation of senior investors, cryptocurrency updates, new issues in the robo-adviser space, cyber insurance considerations, Form PF updates and the SEC’s recent guidance on fees and expenses.  Our panelists will discuss their views and share their experience and best industry practices when working through these topics.

Moderator: Marina Baranovsky of Scitus Consulting; panelists: Nicole Kalajian of Stradley Ronon; Jeanette Wingler of FINRA; and Megan Claucherty of Harris Associates.

To register, click here.

FinTank: WealthTech 2018

Thursday, June 28, 2018, 12:45-6:45 PM

Morningstar, 22 W Washington, 7th Floor Auditorium, Chicago, IL

The world of wealth management is undergoing a profound transformation. The emergence of technologies in new fields such as artificial intelligence, big data and predictive analytics, and blockchain are changing the investment landscape forever.

At “WealthTech 2018” you will hear experts at leading financial firms discuss disruptive technologies which are making the biggest impact on the wealth management industry and beyond.

  • Business Insider Intelligence forecasts that robo-advisors (investment products which include any type of automation) will manage close to $1T by 2020 and $4.6T by 2022.
  • Over the past 14 months, blockchain and related startups have raised $4.5B via ICOs versus $1.3B in traditional venture financing worldwide.
  • Global WealthTech funding is on track to surpass 2017’s record of $2.5B with over $2B already invested in the 1st quarter of 2018.

Attendees will walk away with key insights including:

  • How cutting-edge technologies can empower financial advisors to provide advice that used to be available only to the ultra-wealthy.
  • How robo-advising and artificial intelligence can significantly improve investment results.
  • How cryptocurrencies and ICOs may provide an alternative option for both investing and raising capital.

Keynote Speaker: Steven M. Sears, Chief Market Strategist for StratiFi Technologies.

Don’t miss out on this golden opportunity to learn more at “WealthTech 2018” about the new world of investing and improve your investment performance whether you’re an individual investor, financial advisor or money manager.

For more information, click here.

100 Women in Finance: Talking About Start Ups: Rooftop Round Robin

Tuesday, July 17, 2018, 5:15 PM Registration; Event Begins Promptly at 5:45 PM

Little Goat Diner Rooftop, 820 W. Randolph St., Chicago, IL

Get a snapshot of the start-up industry from founders and consultants in a lively Round Robin format. You will circulate table-to-table (speed networking style) to hear about successes, failures, lessons learned and insights. The specialist or start-up founder at each table will offer a unique focus and market sector. Enjoy the relaxed rooftop atmosphere at Little Goat Diner, as you order cocktails and beer. Snacks provided.

Networking reception will follow.

To RSVP, click here.

FREE: Chicago Bar Association (CBA) Investment Management Subcommittee Meeting

Tuesday, July 24, 2018, 12:00 PM (lunch will be provided)

Stradley Ronon, 191 N. Wacker Dr., 10th Floor Conference Center, Chicago, IL

Presentation on hot topics in investment management regulations.  Some time during the meeting will also be allocated to discuss any issues that our members have addressed in their practice that may be of interest to the group (such as SEC comments received, positions the SEC has taken or experiences with the SEC exemptive process). A robust dialogue on matters of interest enhances the benefits of participating in these meetings. Accordingly, please include any issues you wish to discuss at the meeting in your RSVP.

Illinois CLE credit (for CBA members only) is pending approval.

To RSVP, click here.

Best regards,

Nicole, Hank, Jennifer, Conor, Andy and Tom

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