新浪首页 > 新浪教育 > 《全球性金融机构求职指南》 > 在这一行业的职业生涯中,你的义务和牺牲会有哪些?

What Are The Commitments And Sacrifices Necessary To Make?
http://www.sina.com.cn 2004/07/19 15:46  新浪教育

  The global financial industry is a vigorous business where change is the only constant. Successful professionals share the common characteristic of energetic, intense, knowledgeable, highly disciplined and extremely driven. Most of them have also probably been humbled by the experience of market turbulences and the often-unsuspecting factors that contributed to these unusual periods. Beneath their successes, each one of them is a dedicated professional who had committed huge personal efforts in their career. While different types of careers within the financial industry require different skills and talent, there is no question that these successful professionals take their respective career a long-term commitment.

  As a beginner, you should develop the mindset of taking this career seriously with a long-term view. You must be prepared to adjust your way-of-life to maximize your learning experience. Many young people have great interests for the business, but are unable to sustain it over the long haul. They are anxious to have their fair share of victory, but fail to understand the commitments and sacrifices, or are unable to pace themselves and “burnout?after several years in the business.

  The bottom line: One has to make sacrifices for a successful career in the business.


  Securities Sales

  As a securities salesperson covering the U.S. market in the Asian time zone, you need to stay up throughout the market trading hours (9:30 pm to 4:00 am China time) to monitor the live markets and corporate news coming out from the news wire. However, you need to get up the next day during Asian business hours, after having only a few hours of sleep, to communicate with your clients who are based in the region. This will almost rule out any social or family time on week day evenings. You must be highly disciplined in your life style and live this routine as long as you are in this career.

  Foreign Exchange

  FX traders of major banks in Asia are in the office invariably before 7:00 am in the mornings, and stay late into the evenings for US economic and fiscal announcements that will impact their outstanding positions. At times, they stay until the US market closes at 4:00 am if it is especially volatile. (They do not go home on such occasions; they rest in the office, as they have to be in early the next morning. ) Most of these traders do not follow the local calendar when it comes to local public holidays; instead, they have days-off when the US markets are closed for holiday, and the U.S. has the least number of market holidays in the world.

  Investment Banks And Global Securities Firms

  Another example is the requirement for people working in investment banks or global securities firms to follow in-house rules and policies on “employee account trading? restricting you, your spouse and dependents on personal investments and trading accounts. The standard practice for all employees, spouses and dependents is to open brokerage accounts in-house or with designated brokerage firms. This would enable centralized record keeping, surveillance and compliance checks for possible violations of securities laws and regulations. Prior approval by the immediate manager and compliance are required before placing orders. The objective is to ensure that employees are not involved in speculative trading, and to avoid any apparent conflict of interests with the firm’s official business.





  例 子


  如果一个负责美国市场的证券销售员身处亚洲,他就必须从美国市场开市交易到闭市的时段一直工作(相当于中国时间从晚上9点半到凌晨4点),因为他必须关注市场每时每刻的动态和股市快讯(news wire)中各家公司的信息,而且还必须在第二天亚洲时区的正常工作时间准时起床上班,在仅仅几个小时的睡眠后还要和当地的客户打交道。这几乎成了这一行业的行规,这种不分昼夜、黑白颠倒的工作方式几乎打乱了一个人所有的社交生活和与家人团聚的时间。一旦入了这一行,你工作一天,你就必须对自己的生活方式高度自律一天。




  投资银行或全球性的证券公司有一项内部规定是“雇员个人账户交易”(employee account trading),旨在限制你和你的配偶、被抚养人的个人投资和交易账户。这项规定称:所有的雇员、其配偶、被抚养人必须在雇员所在的机构或指定的机构开立经纪账户(brokerage account)。这项规定是为了将所有涉及雇员的交易记录集中起来进行监督,防止任何违反证券交易法的事件发生。此外,它们还规定凡是涉及雇员私人交易的单子都必须符合规定,还要预先得到直接上司的许可,目的是确保雇员没有卷入投机活动的嫌疑,避免任何威胁公司合法经营利益的情况发生。

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