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  1. Follow

  2. Why Do We Work?
  3. Overview $$$
  4. Why Do These Jobs Exist? Key Capital Markets Functions: Bring lenders and borrowers together Capital is scarce Raise, manage, trade Industries in Service of Capital Markets Professional support (legal, audit) Custodians Valuation
  5. How is Canada Different? There are almost 200 brokerage firms in Canada The top 10 dominate the market, bank-owned RBC, BMO, TD, Scotia, CIBC, National Canaccord, GMP, Raymond James, US/UK bulge bracket firm Third tier of firms are struggling, consolidating, being purchased
  6. Job Functions Split into Front, Middle and Back Office Front Office Client facing positions Sales, marketing, management Middle Office High level support Risk, operations, finance Back Office Support function Operations , technology
  7. Investment Bank Investment Banking IPO, Second Raising Advisory, Corporate Finance Sales & Trading Marketing and execution of equity and bond Research Viewed as a tangible product of an investment bank
  8. Asset Management Professional management is available for all types of assets Public and Private Stocks, Bonds, Real Estate, Commodities, Currencies Some companies are generalists, others are specialists Pension Funds, Mutual Funds, Investment Counsellor
  9. Wealth Management Individuals seek investment advice and planning Investment Advisors/Financial Planners provide portfolio construction, advice and wealth planning Wealth managers also serve as a potential distribution channel for IB equity and debt offerings
  10. Professional Service Providers Lawyers and Accountantts are integral partners for wealth management firms These professionals can help with a number of key areas: Structuring Deals/Transactions Litigation Audits, tax planning
  11. Asset Servicing Custodians Transfer Agents Asset Valuation Transaction Support
  12. Approaching A Career Two Approaches: Focus on Firm Focus on Role Find Ways to Stand Out Research the firm, the person, the position Be prepared
  13. Fun Reading List One Up on Wall Street/Beating the Street The Intelligent Investor When Genius Fails Den of Thieves Liars Poker Monkey Business Wolf of Wall Street
  14. Thank You Peter Shippen, CFA, CAIA 416.304.6811