Cabrera Capital Careers

Position: Investment Grade Sales Trader

Location: Chicago, New York, Los Angeles

Duties & Responsibilities:

• Trade investment grade, new issue and secondary bonds
• Generate trade ideas, assess relative value, provide updates on important news flow and portfolio recommendations to our portfolio managers clients
• Oversee multi-billion order flow of investment grade securities in fixed income capital markets
• Vet offerings and pitch trade ideas to the company’s portfolio management clients based on a deep understanding of mandate suitability
• Build and maintain strong relationships with the dealer community in order to support access to secondary market liquidity and primary market deal flow
• Identify relationships across markets and pitch potential trade opportunities that arise as a result
• Manage business development for the expansion of services to existing clients and procuring new clients
• Pro-actively communicates regularly with clients in an effort to manage expectations and help ensure client satisfaction
• Continually develop relationships with existing Wall Street sales, trading and syndicate desks
• Maintain and grow existing accounts and identify new key accounts
• Work closely with other trading teams to ensure implementation of best practices
• Manage risk in accordance with the Company’s desk policy

Qualifications:

• Must have Active Series 7 and 63 license
• Minimum of 3 years of relevant investment grade experience
• Team player with string interpersonal skills
• Excellent verbal and written commnications
• Strong quantitative and financial technology skills (Bloomberg, Excel
• Detail-oriented and ability to juggle multiple task
• Demostrates sound judgement and ability to work independently

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com. Thank you.

About the Position

Location – Chicago, New York or Los Angeles

Duties & Responsibilities:

• Trade high yield, new issue and secondary bonds
• Generate trade ideas, assess relative value, provide updates on important news flow and portfolio recommendations
• Oversee multi-billion order flow of high yield securities in fixed income capital markets
• Vet offerings and pitch trade ideas to the company’s portfolio management clients based on a deep understanding of mandate suitability
• Build and maintain strong relationships with the dealer community in order to support access to secondary market liquidity and primary market deal flow
• Identify relationships across markets and pitch potential trade opportunities that arise as a result
• Manage business development for the expansion of services to existing clients and procuring new clients
• Pro-actively communicates regularly with clients in an effort to manage expectations and help ensure client satisfaction
• Continually develop relationships with existing Wall Street sales, trading and syndicate desks
• Maintain and grow existing accounts and identify new key accounts
• Work closely with other trading teams to ensure implementation of best practices
• Manage risk in accordance with the Company’s desk policy

Qualifications:

• Must have Active Series 7 and 63 license
• Minimum of 5 years of relevant high yield experience
• Team player with strong interpersonal skills
• Excellent verbal and written communication skills
• Strong quantitative and financial technology skills (Bloomberg, Excel, etc.)
• Detail-oriented and ability to juggle multiple tasks effectively
• Demonstrates sound judgment and ability to work independently

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com

About the Position

Location:             Chicago or New York

About: Cabrera Capital Markets is a boutique investment bank that is a trusted advisor to founder-led small and medium-sized enterprises (SMEs) across a wide spectrum of sectors – from Industrial Services and Infrastructure Management to Emerging Tech and Digital Economy, and beyond.

Since the launch of Cabrera Capital Markets in 2001 – a platform that has executed over $1 trillion in debt and equity financings to date – we continue to build upon an extensive network of global relationships that connects clients with bespoke idea sets and creative resources that deliver measurable results.

Our team is heavily differentiated through its significant experience as entrepreneurs, operators, and private equity investors, which provides a unique set of lenses for advising clients through mergers & acquisitions (M&A) and strategic solutions that complement their narrative and vision.

Opportunity Overview:

Have you honed your skills as an IB Associate / Director / VP to a level where you believe you are ready to take the next step?

OR have you been hoping to become more thesis-driven in your approach to the advisory landscape?

OR maybe you are a talented member of a highly active corporate development team who is looking to diversify your approach to the SME landscape?

…if any of those thoughts resonate, we would enjoy the opportunity to learn more:

Please complete the following Form (takes less than 5 min): https://forms.office.com/r/Jdy48yKb2U

Description:  The Advisory and Strategic Initiatives Division is looking to hire a highly proficient Vice President / Senior Associate with an entrepreneurial mindset to join our team and assist in growing our advisory practice. The individual will oversee incoming Analysts and Associates, while cultivating personal thesis for client / landscape development with the support of the team’s Managing Directors.

Duties & Responsibilities:

• Evaluating, structuring, and recommending financial and strategic alternatives, including the analysis of mergers, acquisitions, and other strategic combinations, asset sales, and divestures.
• Leading the day-to-day execution of transactions, including due diligence, valuation analysis, and the negotiating of contracts and other agreements.
• Performing industry research and performing financial, economic, and valuation analysis of companies primed for M&A consideration or other strategic solutions
• Preparing written analysis and presentation materials, evaluating market opportunities for use by the firm and its clients.
• All other duties as assigned

Qualifications:

• Bachelor’s Degree; Master’s Preferred
• Over 3 years of experience in investment banking or on a highly active corporate development team
• SIE and Series 79 required or within 90 days of hire
• Advanced analytical / modeling skills with practiced attention to detail
• Client-ready communication and strong interpersonal skills
• Demonstrated self-motivation and evidence of strong time management
• Proficient with Excel and PowerPoint
• Must be able to travel for client meetings and events during work hours, in the evenings and/or weekends, approximately 25%

About the Position

Location: Chicago, Illinois

The Assistant Vice-President Trading & Underwriting (“AVP”) consists of a combination of trading and underwriting responsibilities. The AVP will support the department initially but will eventually buy and sell municipal securities with the intent to distribute them to our customers, the dealer community, and electronic platforms in the most profitable manner. The AVP will assist the sales department with marketing of Cabrera’s municipal inventory by illustrating relative value concepts within current market dynamics. Also, the AVP will assist the lead underwriter in the distribution and execution of new issue municipal offerings. Also, the AVP will provide support to the lead underwriter by assisting in the input of levels, structure, and marketing ideas.

Cabrera Capital has a strong commitment to diversity and inclusion; women and minority candidates are strongly encouraged to apply.

Duties & Responsibilities

• Support the municipal department
• Buying and selling municipal securities within the limitations established by the lead trader
• Creating and updating marketing material when needed, including contributions to Cabrera’s weekly market commentary distributed to customers via direct email and though other various forms of social media
• Travel to develop customer relationships
• Creating and executing trading strategies for the benefit of Cabrera Capital
• Assist the lead underwriter with input on new issue scales
• Learn internal back-office systems for processing Senior led primary market issues
• All other duties assigned

Qualifications:

• Bachelor’s degree
• One year of professional experience, related experience is a plus
• SIE, Series 7 and Series 63 exams (pass within 3 months of employment)
• Strong Excel skills
• Knowledge of Bloomberg and PowerPoint
• Possess a high level of integrity and analytical skills
• Display a strong work ethic with an entrepreneurial mindset
• Strong interpersonal skills and communication skills
• Strong attention to detail

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com.

About the Position

Location – New York, NY

Seeking an investment banking and corporate finance professional with an emphasis on capital markets transactions with over three years of experience in originating, structuring, executing and managing transaction for corporate clients.

As Cabrera Capital has a strong commitment to diversity and inclusion, women and minority candidates are strongly encouraged to apply.

Duties & Responsibilities:

• Manage relationship with clients and originate capital markets transactions
• Advise private and public companies on capital raising and capital structure optimization
• Evaluate client’s overall capital plan and strategic financing goals
• Analyze client’s financials goals and provide presentations related to potential debt and equity offerings strategies
• Responsible for ongoing analysis of clients’ funding needs
• Manage all aspects of client’s capital raising efforts and potential offerings (Structuring, marketing and roadshows, origination, closing)
• Develop and design marketing strategy effort for different types of capital raising
• Work with Cabrera Capital’s management team to grow and expand capital markets capabilities
• All other duties as assigned

Qulifications:

• Bachelor’s degree, Finance major preferred
• MBA, M.S. in Finance or equivalent is a plus
• 3+ years of Capital Markets experience
• Advance analytical skills with attention to detail
• Advance knowledge of Excel
• Excellent verbal and written communication skills
• Proven track record of successfully managing client relationships
• Highly self-motivated and works well under pressure
• Possess strong time management skills with the ability to multi-task and prioritize projects to meet simultaneous, multiple deadlines
• Possess pro-active follow-up skills
• Team player with strong interpersonal skills
• Able to demonstrate sound judgment and ability to work independently
• Detail oriented and able to multi-task effectively
• 40% travel expected (may decrease due to travel restrictions and/or client preferences during Covid)

Required Licenses:

• Securities Industry Essentials Exam
• FINRA Series 7
• FINRA Series 63
• FINRA Series 79

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com. Thank you.

About the Position

Location: Chicago, IL

Analyst, Corporate Finance

We are seeking a first year Analyst to provide support to the Corporate Finance Associates and Bankers both within the Corporate office and all other CCM offices.  The Analyst performs a critical role in the Investment Banking process by assisting with preparation of documents helpful in client solicitation as well as documents and information needed during the execution of various types of transactions.  The Analyst will work with Associates and Bankers to assist with conducting a thorough financial analysis of companies, preparing cash flow analysis, performing research, financial forecasting, and assisting in the preparation of all documentation related to a potential transaction. The Analyst may be tasked with the formulation of financial reports based on shared private and public information, inclusive of the prospective business’s company revenue, staff resources assessments, and general due diligence.

As Cabrera Capital has a strong commitment to diversity and inclusion, women and minority candidates are strongly encouraged to apply.

Duties & Responsibilities:

• Effectively support Associate & Bankers daily
• Efficiently creates and prepares presentations for client meetings and deal support
• Provides analytical support
• Creatively develops financial models which may aid banking coverage
• Competently provides information including financial forecasting, cash flow analysis, summary of research and bond ratings to Associates and Bankers
• Conducts thorough research for various type of companies
• Pro-actively provides status updates with appropriate individual(s)
• Accurately enters client data into Cabrera databases
• Committed to satisfying internal and external customers
• All other duties as assigned

Qualifications::

• Bachelor’s degree, Finance major preferred
• An internship or 3 to 6 months experience in Capital Markets or M&A is preferred
• Advance analytical skills with attention to detail
• Excellent communication and interpersonal skills
• Possess strong time management skills with the ability to multi-task and prioritize projects to meet simultaneous, multiple deadlines
• Team player with the ability to work cohesively with colleagues
• Self-motivated and works well under pressure
• Possess pro-active follow-up skills
• Able to effectively work in a fast paced, intense environment
• Must be comfortable dealing with all levels of employees
• Knowledge of Bloomberg Platform is a plus
• Advanced proficiency with Excel, PowerPoint, Word, etc.

Required Licenses (required or within 90 days of hire):

• Securities Industry Exam
• Series 7
• Series 63
• Series 79

Position: Chief Compliance Officer

Location: Chicago, Illinois

About the Position:

Cabrera Capital Markets is seeking a Chief Compliance Officer (“CCO”) who is responsible for all aspects of the complaint intake and regulatory inquiry process of the broker/dealer. Responsible for communicating with management and employees regarding complaint assignments and regulatory inquires while also ensuring that any required regulatory filings are prepared and transmitted to the firm’s Registration Department for filing with FINRA in a timely manner. Also, the CCO will work on special projects and other duties as assigned.

The ideal candidate can anticipate growth opportunities, especially responsibility in conjunction with operations. This can also include broader company oversight duties, including forming and maintaining RFP responses, technology, order management systems, cybersecurity systems, regulatory reporting, and trade surveillance.

Cabrera Capital Markets has a strong commitment to diversity and inclusion, women and minority candidates are strongly encouraged to apply.

Duties & Responsibilities:

• Establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations
• Design and oversee appropriate forensic testing with respect to all relevant firm policies
• Direct and monitor relationships with compliance vendors that provide support to the firm’s compliance program
• As needed, update internal compliance policies and procedures in connection with compliance reviews, test results, or changes in applicable laws, rules, or regulations
• Oversee all aspects of dissemination of new and updated compliance standards and procedures by maintaining and implementing a consistent and effective training program
• Execute the firm’s Annual Compliance Review, presenting results to the COO, Operations & Compliance Committee, and Partners of the firm
• Serve as main point of contact to FINRA and any other regulatory or self-regulatory agencies
• Identify, communicate, escalate and/or mitigate all compliance-related issues and risks to the firm
• Manage and work with auditors, legal or compliance counsel on compliance related items
• Stay informed on changes to federal and state securities laws and regulations that affect the firm by attending conferences and reading relevant industry news
• Draft Standing Operating Procedures as necessary
• Regulatory reporting support and monitoring (MSRB/TRACE/ACT/ORF/CAT/OATS)
• Implementation of effective BSA/AML and compliance policies/procedures and accompanying policies consistent with applicable regulatory requirements, including internal training programs
• Design ongoing client KYC/CIP review and transaction monitoring plan, test transaction monitoring requirements and thresholds
• Coordinate CRD registration requests and review of prospective Registered Representatives
• Perform business location and branch office inspections. Conduct quality control reviews of new business
• Process outside brokerage account requests, maintain records and review activity
• Gather/verify information and report on the firm’s business continuity program
• Assist with administration of the firm’s FORM BD and FORM ADV
• Approve new accounts and RFQ’s, including conducting vendor due diligence
• Provide specific and targeted training as needed for individuals and/or departments
• All other compliance related duties as assigned

Qualifications:

• 5-10+ years of experience in financial services regulatory related work, preferably at a broker-dealer
• Bachelor’s Degree or equivalent required, combination of education and work experience demonstrating the ability to perform the essential functions of the position
• Active SIE, Series 7, 24, and 63; Able to pass other exams as needed
• Familiar with US and state securities laws and must have in-depth knowledge of securities industry
• Prior experience working with Global Equities, Municipal and Taxable Fixed Income, Public Finance as well as Preferred equities and other asset classes
• Experience managing, growing and developing a compliance team
• Business growth mind-set, with ability to consult on how new lines of business can be incorporated while adhering to compliance rules and regulations
• Experience in providing firm-wide advice and support on regulatory updates and changes
• Advanced working knowledge of Internet based applications as well as Microsoft programs (Excel, Word, Access, PowerPoint)
• Must be self-motivated, detailed oriented and very organized
• Must be able to produce high volume and accurate work in a fast-paced environment
• Must be able to work with minimal supervision
• Must be able to work in a team environment and under strict regulatory deadlines
• Must be able to maintain confidentiality at all times
• Must have excellent internal and external customer service skills

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com.

Position: Municipal Sales

Location: Open; Preferably Chicago, New York, Philadelphia, Los Angeles

The Municipal Salesperson must capitalize on their established customer relationships and to be able to distribute taxable and tax-free municipal bonds to institutional investors. Also, the Municipal Salesperson must be able to cultivate new relationships and ultimately monetize the business. The individual must be self-driven and have a proven track record of success with a variety of customers which may include money managers, hedge funds, mutual funds, insurance companies and municipalities.

Duties & Responsibilities

• Bring a deep base of established customer relationships to the Cabrera platform.  Customer relationships ideally consist of a mixture of various tiers
• Use established relationships to distribute taxable & tax-free municipal bonds to institutional investors
• Develop new relationships with the intention of distributing municipal bonds
• The ability to market primary market issuance including non-senior managed loans
• Excellent interpersonal skills including the ability to communicate technical market concepts concisely to team members and customers alike
• Strong partnership and teambuilding skills
• A strong knowledge of the municipal bond market landscape including credit, valuation and emerging trends in the marketplace
• All other duties as assigned

Qualifications:

• BA/BS degree
• Over 3 years of municipal sales experience
• BA/BS degree
• SIE, Series 7 and Series 63 Exams
• Working knowledge of Excel & Bloomberg
• Strong work ethic with an entrepreneurial mindset
• Successful record of generating revenue
• Self-driven
• Excellent communication and interpersonal skills

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com. Thank you.

About the Position

Location: Chicago, Illinois

The Junior Staff Accountant supports the Accountant in carrying out the responsibilities of the department for all Cabrera Capital entities, with particular emphasis on accounts payable and accounts receivables.

Cabrera Capital has a strong commitment to diversity and inclusion; women and minority candidates are strongly encouraged to apply.

Duties & Responsibilities

• Complete bank account reconciliations for all entities
• Maintain prepaid expense and fixed asset schedules
• Manage accounts payable/receivables cycle (invoice input, check issuance, file maintenance, vendor correspondence, research)
• Process semi-monthly check runs
• Coordinate employee out-of-pocket expenses
• Reconcile firm credit card activity
• Assist with the reconciliation of certain monthly general ledger accounts
• Prepare various journal entries
• Assist as directed during regulatory and financial audits
• Perform other special projects, accounting or administrative tasks as required from time to time
• All other duties as assigned

Qualifications:

• Bachelor’s Degree in Accounting
• Minimum of 1 year of related experience
• Strong proficiency in Microsoft Excel is required
• Experience with QuickBooks and Python is preferred
• Detail and deadline oriented
• Excellent time management skills
• Ability to multi-task projects
• Able to work independently and with little direction

To apply for this position, please forward a copy of your resume to cau@cabreracapital.com.