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Sales Management

Location:
Brooklyn, NY
Posted:
April 29, 2014

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Resume:

ALAN RUBENFELD

** ******* ***.

Jericho, NY *****

H: 516-***-****

C: 516-***-****

acdwz5@r.postjobfree.com

QuantShares, New York 2011 -

October, 2013

Director of ETF Sales

. Head of sales effort for startup ETF firm, offering a family of factor-

based market neutral ETFs

. Successfully developed transactional relationships with Institutional,

Wealth Management, Broker/Dealer, RIA, Hedge Fund, Wirehouse and Pension

& Endowment markets

. Created comprehensive marketing, advertising and sales plans across

multiple platforms

. Edited White Papers on Factor Investing and its role in a client asset

allocation strategy

. Represented firm at industry-wide conferences and seminars

UBS Investment Bank, Stamford, CT 2009 - 2011

Executive Director, Global Program Trading

. Initiated over 25 new trading accounts to GPT desk, including

institutional accounts and wealth management platforms

. Actively sales traded for a core group of GPT accounts, utilizing the UBS

algo suite

. Expanded UBS footprint in ETF space, trading with a wide variety of

Wealth Managers, Registered Investment Advisors, Institutions, and Broker-

Dealers

. Successfully cross sold commodities, infrastructure, and commission

management services to client base

. Created and developed marketing and sales material for both the GPT and

ETF businesses

BNP Paribas Securities, New York 2007 -

2009

Managing Director - Institutional Relationship Management

. Managed the client development effort for Institutional Money Managers,

Pension Funds and Endowments

. Responsible for the identification, coordination and onboarding of over

40 new clients to the Global Equities and Derivatives platform

. Successfully cross-sold entire BNP Paribas platform to major US

investment managers and pension funds, including cash equity trading,

flow derivatives, structured product solutions and prime brokerage

. Negotiated all aspects of client ISDA process in conjunction with BNP

Credit and Legal departments

Deutsche Bank Securities, New York 1996 -

2007

Managing Director - Portfolio Trading Sales and Transition Management

. Managed sales and marketing for both domestic and international PT

products to U.S. institutional community

. Consistently generated $8-10mm plus agency PT commissions for ten years,

covering many of the largest equity trading desks in the U.S.

. Responsible for closing the largest principal portfolio trade ever

executed by a broker - over $11 billion -- as well for originating and

executing other numerous multi-billion global principal and agency

transactions

. Maintained, developed and enhanced relationships with numerous

institutional clients ranging from active and quant managers, index

funds, pensions, fund of fund managers and hedge funds

. Worked closely with trading desk to develop strategies for implementing

customer portfolio trades

. Spoke frequently at industry conferences and events, as well as wrote

articles on portfolio trading for industry publications

. Developed internal sales mechanisms for entire Deutsche Bank platform to

cross-sell PT product to global client base

Investment Technology Group, New York 1994 -

1996

Vice President - Sales and Marketing

. Marketed ITG's POSIT and portfolio trading products to global

institutional investment community

. Achieved annual triple digit growth in customer sales every year with

firm

. Contributed significantly to the tripling of ITG's institutional market

penetration

Merrin Financial, New York 1992 - 1994

Vice President - Sales and Marketing

. Developed, designed and marketed Merrin's Intermarket Trading Network (a

precursor to FIX order messaging) to U.S. institutional investors

. First successful order routing between proprietary buyside trading system

to broker system

. Designed and wrote all marketing and sales materials for ITN product

Institutional Investor, New York 1987 -

1992

Director of TraderForum

. Organized and developed a private membership organization that

successfully brought together over 120 representatives of the largest

institutional investment organizations

. Tripled membership roster while simultaneously doubling price of

membership

. Created innovative and useful products for members such as compensation

surveys, technology surveys and symposiums, and research on significant

industry issues

. Created international program that brought traders and portfolio managers

to numerous global financial centers to be educated about international

trading and investing issues

Education:

The University of Michigan, Ann Arbor

. Master of Business Administration - Finance and Accounting - 1981

. Bachelor of Arts - English Literature - 1979

Other Information

. Author of The Super Traders: Secrets and Successes of Wall Street's

Best and Brightest (Dow Jones Irwin Publishing, 1992). Super Traders

was published in both hard cover and paperback editions and was

distributed globally, selling over 30,000 copies.

. Author of the Traders Magazine April, 2013 cover story: Lessons From

The Super Traders 1992 - 2012: The Differences Two Decades Make, A

Program Trader's Rise (August, 2013), Wrap Powerhouse (September,

2013)

Licenses

FINRA Series 3, 7, 9, 10, 55, 63

ALAN RUBENFELD

INSTITUTIONAL/WEALTH MANAGEMENT RELATIONSHIPS

Investment Managers

Aronson

Bessemer Trust

Boston Company

Cramer Rosenthal

Delaware Investments

Frank Russell

GE Asset

ING

INTECH

Invesco

Loomis Sayles

Met Life

New York Life

NWQ

PIMCO

PineBridge

Pioneer Funds

Select Equity

Standard Life

Thrivent

UBS Global Asset

USAA

William Blair

World Asset

Pension Funds/QPAMS

Arizona State Retirement System

BNY Mellon

CALPERS

Frank Russell

GE Pension Fund

General Motors

IBM Retirement

Michigan Retirement

New York State Retirement Fund

Ohio Public Employees

Ohio State Teachers

Ontario Teachers

Oregon Retirement

PSERS

Retirement Systems of Alabama

SEI Investments

Tennessee Consolidated Retirement

Texas Permanent Fund

Texas Treasury Safekeeping

Verizon Pension Fund

Virginia Retirement System

Wealth Managers

3D Asset

Acropolis Investment Management

American Economic Planning Group

Arin Risk Advisors

Arrow Investment Advisors

Astor Asset Management

Avatar Associates

Axa Rosenberg

Broadmark

Buckingham Asset Management

Clark Capital

Clifton Group

Comerica Bank

Confluence

Credit Suisse

Deutsche Bank - DWS

Dorsey Wright

F-Squared Investments

Gerstein Fisher

Glenmede Trust

Goldman Sachs

Good Harbor

Gradient

Harris Private Bank

IRON Financial

Ladenburg

Leuthold Weeden

Lockwood

Niemann

PNC

Quantitative Advantage

Rafferty

Relative Value Partners

Richard Bernstein

RiverFront

Rockefeller

Roosevelt

Sage (Texas)

Sage (NY)

Secor

SignalPoint

Stadion

Tactical Allocation Group

Telemus

Wade Financial

Wells Fargo (Minneapolis)

Broker-Dealer Platforms

BA Merrill Lynch (institutional desk)

Barclays (institutional desk)

Bulltick

Credit Suisse (institutional desk)

Deutsche Bank (institutional desk)

Envestnet

Fidelity

Janney

JP Morgan (institutional desk)

LPL

Merrill Lynch Wealth Management

Morgan Stanley (institutional desk)

Morgan Stanley Wealth Management

National Securities

Pershing

Raymond James

RBC

Stifel Nicolaus

UBS Wealth Management

Wells Fargo Advisors



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