Own a client-facing role at the center of how our Global Equities franchise delivers value through commission arrangements. You’ll partner across coverage, trading, operations, legal, and compliance to drive growth, strengthen controls, and deepen client relationships.
Job summary:
The US Commission Management Sales (CMS) VP sits within Client Relationship Management (CRM) supporting the Global Equities business, with primary responsibility for the US Soft$/CCA business under SEC 28e safe harbor requirements and coverage of US and Canadian clients across global products. You will drive CSA opportunity identification and onboarding, manage escalations and risk mitigation, and maintain strong governance and oversight of commission arrangement activity while building durable internal and external partnerships.
Job responsibilities
- Own US CMS sales coverage for US Soft$ business, servicing US and Canadian clients across global product
- Partner with business and client coverage teams to identify CSA growth opportunities and execute end-to-end onboarding for new CSA accounts
- Maintain active partnerships with sales trading, research sales, and prime to promote the CSA business
- Ensure appropriate governance and compliance with regulatory requirements for commission arrangements, including intra-month and monthly oversight of operational support activities, accounts under management, and balances
- Serve as point person for CSA-related client and operations escalations; identify, mitigate, and escalate risks/issues to senior management as needed
- Build and sustain strong internal stakeholder networks across sales, trading, operations, legal, and compliance to drive execution and client outcomes
- Manage external third party vendor relationships and support broader CRM initiatives including profitability reviews, research payment management, and client strategy
Required qualifications, capabilities, and skills
- Experience in commission management sales and/or related Equities client coverage roles (Soft$/CCA/CSA exposure strongly valued)
- Understanding of the US regulatory framework for commission arrangements, including SEC 28e safe harbor requirements
- Client relationship management skills, including networking, engagement, and ability to maintain priority account coverage
- Strong communication skills with the ability to influence and align cross-functional stakeholders across sales, trading, operations, legal, and compliance
- Demonstrated commercial acumen, including contributing to account strategy, profitability discussions, and business reviews
- Control mindset with the ability to drive governance, oversee processes, and identify/mitigate operational and conduct risks
- Strong time management and prioritization skills; self-starter who is resourceful and comfortable operating within a fast paced environment and change
Preferred qualifications, capabilities, and skills
- Prior experience servicing US and Canadian clients and/or cross-border commission arrangement considerations
- Experience partnering with third-party aggregators and external vendors supporting commission management workflows
- Familiarity working with or supporting Sales Trading, Research Sales, and/or Prime Brokerage businesses
- Demonstrated ability to stay ahead of regulatory regime changes and translate them into practical business action plans