Good Financial Cents

JANUARY 11, 2023

Being a financial analyst at a bank requires more than just crunching numbers. They must make decisions with the utmost accuracy and integrity to ensure compliance with banking regulations and protect the financial institution from costly legal or financial repercussions. Financial Analyst. Average Salary: $91,580 per year.

Banking 96

Banking Budgeting Portfolio Management Recruitment 96

Inside Information

MAY 30, 2023

This is the time of year when the various industry magazines come out with their broker-dealer surveys, listing the ‘top’ BD rankings based on total revenues or the number of ‘producing’ reps. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.

Communication 40

Communication Sales Insurance Compliance 40

The Big Picture

AUGUST 15, 2023

And so alongside of Wall Street recruiting in my senior year, I interviewed at the Yale Investments Office and was fortunate to get that job and violated the two principles I had at the time, which was I wanted to be in a training program and I wanted to leave New Haven. Or at least the top, pick a number, 30, 40%. Less, 20, 30%?

Management 130

Management Investments Investing Government 130

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And before you knew it, she was the number one salesperson for selling to professional salons in the whole country. RITHOLTZ: Compliance, legal, and risk. RITHOLTZ: Really?

Compliance 162

Compliance Clients Wealth Management Management 162

The Big Picture

JULY 26, 2022

What makes Graham so interesting is while everybody else in the world of private equity is focused on the analytics and crunching numbers and creating econometric models that will tell you where to invest, I think they’ve found a very different model that has been extremely successful for them, where the key focus is on talent.

Consulting 298

Consulting Numbers Management Investing 298

The Big Picture

MAY 9, 2023

He co-chairs a number of the asset management investment committees. So I interviewed with a bunch of banks, got a number of job offers by the end of the week, and joined Goldman Sachs in October 1998. I ended up being hired onto the high yield desk as a research analyst and did that for a number of years, a couple of years.

Assets 299

Assets Clients Investing Investments 299

The Big Picture

MAY 23, 2023

How to recruit and retain the best people and how to use technology as a tool to give you an edge, not just in investing but in the ability to offer clients various solutions improving your efficiency, effectiveness and productivity as a company. Let’s round it up to 145 as much as my compliance people hate when I do that.

Clients 162

Clients Management Engineering Investing 162

Diamond Consultants

DECEMBER 20, 2022

And based on our own experience (as hard numbers are not yet available), that activity continued throughout the second half of the year, despite volatile market headwinds. With recruiting particularly active at Morgan Stanley and UBS, advisors demonstrated that it’s still the right model for many of them.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

The Big Picture

SEPTEMBER 10, 2024

So that’s, that’s number one. You know, when you, and then we recruit, you know, we talk to people, young people always say, you probably haven’t even ever had a B on your report card. Because the claims numbers were better. You have to get compliance. So your probability of being correct Okay.

Valuation 162

Valuation Clients Investing Investments 162

The Big Picture

SEPTEMBER 5, 2023

And I literally put the entire Schedule A, which is the pricing square footage unit numbers in a Hewlett Packard 41B using bit mapping. Everybody knew the number but the appraiser. MILLER: The term back then was, here’s a good appraiser, good in air quotes and good translated into making the number. Just keep it fair.

Sales 130

Sales Numbers Marketing Marketing 130

The Big Picture

JULY 29, 2024

Not only has she been named to a number of hundred most influential women in finance, I don’t know many people who have seen as much of this industry on the front lines as she has for as long as she has, and is now in a position to very much drive change within the industry as CEO. Natalie Wolfson is CEO of Orion. That’s right.

Clients 147

Clients Portfolio Financial Advisor Investing 147

Sara Grillo

SEPTEMBER 26, 2022

I mean, how is the CFP Board even going through a process of due diligence, again, innocent till proving guilty in the sense when they have all kinds of disclosures, but at the same time, they’re publicly reprimanding 40 people, 80 people, whatever the number is, in a given year, out of the tens of thousands.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

MARCH 21, 2023

You can use this in a number of ways. And that’s a pretty good number. ASNESS: Well, I was striving for uncorrelated, but then the compliance officer in my head is saying sometimes it doesn’t come out to zero all the time. RITHOLTZ: Meaning it would be a recruitment challenge. RITHOLTZ: Okay. RITHOLTZ: Right.

Valuation 173

Valuation Investing Investments Numbers 173

The Big Picture

NOVEMBER 4, 2024

I said a number of dis drive companies, pc, I mean, we did actually invest in Compact during that period. They’re a number of technologists that are now interested in healthcare. And where we’ve made the least number of investments, the fewest number of investments is in hospital systems because Epic owned it.

Healthcare 130

Healthcare Medical Investing Investments 130

The Big Picture

DECEMBER 10, 2024

They had good year over year numbers. You know, they’re doubling and troubling and these are incredible numbers and growth and blah, blah, blah. It was at the time, the number one producer of DISC drives. And the number one player’s probably gonna do better than most? I like the three year trend. That was one.

Engineering 130

Engineering Consulting Manufacturing Investing 130

The Big Picture

MAY 16, 2023

Uh, Fred said to give me your number.” ” (LAUGHTER) And he goes, and then he goes like this and tell Fred not to give up my (EXPLETIVE) phone number anymore. LINDZON: Lesson number two. And they go, what’s street.com’s number. He goes, Hey, uh, “Hey, it’s Howard. ” I do the pitch.

Media 290

Media Investing Investments Valuation 290