Wednesday, July 30, 2014

Senior Level Commercial Lender - Austin, TX

Senior Level Commercial Lender - Austin, TX

Title:  Senior Level Commercial Lender (969-001-111)
Location:  Austin, TX Area
Compensation:  Commensurate with experience

Our client is a bank with over $150 million in total assets. They are looking to add a Senior Level Commercial Lender to contact businesses and corporations to see if business financing or loans are needed for their operations. Role will be responsible activities dealing with commercial lending and has a direct responsibility for banking relationships with assigned customers as well as prospective commercial customers. This role will report directly to the CEO.

Interviews customers and prospective customers and prepares documentation for commercial loans
Collect and analyze financial data for proper loan structure
Maintain aggressive commercial calling program for new and existing customers
Reviews final loan documentation to determine appropriate recommendations
Assumes responsibility for complex accounts and provides training and guidelines to less experienced loan officers.
Carries out a variety of business development activities to identify bank prospects
Ensures compliance with existing loan policies and procedures and assists in policy development and modification
Receives and responds to various customer questions and solves customer problems
Assumes additional responsibilities as required

10+ years commercial lending
Bachelor’s degree preferred
CRE specialty with Interim Construction Lending a plus
Good business development and loan serving skills
Demonstrates strong interpersonal skills with the ability to work independently, as well as motivated to work as a team player

If  interested, please email your resume as an MS Word attachment to:
Kristin Pries
BCI - Financial Services Recruiting

Wednesday, July 23, 2014

Quantitative Analyst - Chicago

Title:  Quantitative Analyst (4-38-711)
Location:  Chicago
Compensation:  Commensurate with experience

Our client is a large independent institutional investment advisor, managing various domestic/global equity strategies as well as alternative investment strategies. They seek a Quantitative Analyst with 5-7 years of risk-related investment management experience, preferably with exposure to Emerging Markets.

Monitor/manage investment risk exposure related to individual securities/group of securities, on a day-to-day/long-term basis
Recommend actions that will reduce risk/shift portfolio characteristics, including developing hedging strategies for Emerging Markets
Develop/maintain quantitative models used to determine asset allocation/define sector weightings and allocations/enhance investment returns
Frequently interact with Research Analysts/PMs

Minimum of 5-7 years of risk-related investment management experience (knowledge of Emerging Markets is considered a plus)
Outstanding technological knowledge including advanced Excel/Access/ SQL
Advanced degree in Physics/Applied Mathematics/Statistics/quantitative discipline
CFA and/or MBA preferred
Ability to successfully communicate with people inside/outside the organization
Successful candidate should be entrepreneurially-minded, intellectually curious, with desire to expand beyond area of expertise

If  interested in this opening, email your resume as an MS Word attachment to:
Kristin Pries
BCI - Financial Services Recruiting

Friday, July 18, 2014

Manager - Public Markets, Caltech - Pasadena

Manager - Public Markets, Caltech - Pasadena

Please, only apply if you meet all the Basic Qualifications, including:

  1. * Do you have five years of experience as an equity manager of managers? This experience would likely be gained in a foundation, endowment, family office, plan sponsor or investment consultant environment.
  2. * Are you able to travel some (around 25%) both domestically and internationally and have personal flexibility in work hours? (Weekends are required based on workload.)
Job Summary
Reporting to the Senior Director of Investments, with direct exposure to the Chief Investment Office, the Manager of Public Markets (“Manager”) will play a key role for the Investment Office overseeing development of the $1 billion global public debt and equity markets portfolio and enhancing the portfolio’s risk management policies and procedures. In this function the Manager will be expected to seek and recommend the best performing asset managers that fit with Caltech’s investment objectives.

The Manager will be responsible for monitoring and understanding global market and economic conditions and developing intermediate and long-term portfolio strategies and allocations which optimize the portfolio risk/return equation consistent with the Institute’s risk profile and return requirements. The Manager, in conjunction with the Senior Director of Investments, will oversee development of both a long-term “strategic” asset allocation as well as a shorter-term “tactical” allocation which may deviate from the strategic allocation from time to time.

In addition, the Manager will oversee manager selection, on-going monitoring and portfolio construction of the public markets portfolio which consists of generally long-only domestic, international developed and emerging markets equity managers. The Manager will have deep knowledge of high quality global investment managers and be familiar with various resources (Morningstar, Bloomberg, industry contacts, etc.) which can provide leads to identify new managers to meet and/or explore hiring.

The Compensation will be competitive and dependent upon skills, experience and qualifications. Compensation will be composed of a competitive base salary and participation in an annual multi-factor bonus pool.

Job Duties
• Proactively identify, meet with, evaluate and potentially recommend new public markets investment managers from around the globe. Develop and execute thorough due diligence practices and procedures. Develop and implement overall public markets portfolio strategy.
• Rigorously review and monitor the performance of existing investment managers. Develop evaluation criteria and maintain an active watch-list/termination protocol.
• Proactively analyze and assess investment strategies and ideas that will allow Caltech to be a leader and stay ahead of the investment crowd. Identify in advance “what can go wrong”, early warning signs, and mitigation plans/exit scenarios.
• Build on a good network within the money management world. Knowledge of new managers, spinouts from existing managers, and an “ear to the ground” to know when there may be issues with existing managers. Effectively and proudly represent Caltech in the marketplace at manager meetings, conferences and in the community.
• Be a leading contributing member of the Caltech investment team. Exchange investment ideas and trends for public markets and other asset classes if appropriate.
• Collaborate with the Director of Investment Operations in developing and executing best practices in back office operations.
• Other duties as assigned.

Preferred Qualifications
• Advanced university degree (Master’s or equivalent) in business administration, finance and/or economics. Chartered Financial Analyst (CFA) designation is very desirable.

Basic Qualifications
• Five years of experience as an equity manager of managers. This would likely be gained in a foundation, endowment, family office, plan sponsor or investment consultant environment.
• Demonstrated investment judgment and perspective on how to manage a public equities portfolio.
• Demonstrated ability to analyze, assess and question portfolio dynamics from investment strategies to individual investment ideas/holdings.
• Demonstrated ability to manage managers – rigorously reviews and monitors the managers’ work. Delves into the appropriate details and asks the right questions. Experience as a fundamental investor, with the ability to incorporate quantitative evaluations and measures together, would be a positive.
• Exhibits understanding of risk management concepts and techniques, quantitative methods of analysis; knowledge of a wide range of asset classes, financial instruments and strategies; knowledge of asset allocation, modern portfolio theory, and manager analysis; strong understanding of portfolio construction.
• Demonstrated superior communication and interpersonal skills and ability to work closely with Caltech’s small investment team. Must be a clear and concise writer. While not overly formal, Caltech’s investment review process is thorough, deep and written. Ability to develop written material for Investment Committee members and communicate with them effectively when called upon.
• Demonstrated ability to: think critically (“healthy skepticism”) and strategically, cut through complexity, and synthesize and articulate complex strategies in a simple, meaningful, jargon-free fashion.
• Demonstrated ability to work on projects in a team environment in a small office and work with and meet established deadlines.
• Ability to act independently with a willingness to put in the effort to achieve a high quality product on-time without constant supervision.
• Act like an owner: we are all responsible for the success of the Investment Office and do what needs to be done to ensure that success.
• Excellent analytical, quantitative and research skills; excellent written and oral communication skills.
• Enthusiasm for institutional investments, capital markets and overall global economic environment. Highly intelligent, and willing to be challenged and challenge others (respectfully). Ability to synthesize large amounts of often-conflicting information and recommendations and then develop a concise “point of view”.
• Impeccable honesty and integrity.
• The ability to handle multiple assignments often with competing priorities and tight deadlines.
• Some travel (around 25%) and personal flexibility in hours/weekends are required based on workload.

Please, only apply if you meet all the Basic Qualifications

To apply:

Thursday, July 17, 2014

Operations/Marketing/Trading Asst, Triad Inv Mgt - Newport Beach

Operations/Marketing/Trading Assistant, Triad Investment Management - Newport Beach

Triad manages equity and balanced separate accounts for high net worth individuals.  As of 6/30/14, we manage $139 million.  We have served high net worth investors since our inception in 2008, and we are now reaching out to institutional investors.  We seek an individual to join our team to help us manage our operations and assist us in growing the firm. 
·         Varied depending on what is needed by the firm
·         Handle operational, compliance, administrative roles
·         Assist with marketing and marketing support
·         Potentially assist with trading
·         Able to handle a wide variety of job responsibilities and roles
·         Able do needed tasks in priority order and re-prioritize depending on business needs
·         Self-starting, motivated individual
·         Able to represent Triad well with clients, prospective clients and members of the community
Desired Background and Experience:
·         Over 5 years in the investment management profession
·         Undergraduate degree
·         Interest in establishing a long-term career with Triad as we continue to grow
Contact Dave Hutchison, CFA, Managing Director, to apply and for more details at

Friday, June 27, 2014

MD Small Balance Commercial Sales Prof - L.A. and other locations

Managing Director Small Balance Commercial Sales Professional - L.A. and other locations

Title:  Managing Director Small Balance Commercial Sales Professional (967-1-111)
Location: Company has offices in Denver and New York, Houston, Scottsdale, and Los Angeles (Position can be performed remotely)
Compensation: Commensurate with experience

Firm Overview:
Residential real estate capital markets/financial advisory firm with a 25+ year history and subsidiary companies specializing in: whole loan transaction advice/investment strategies; mortgage servicing rights transaction advice/valuation analytics; mortgage servicing rights valuation/risk analytics; whole loan and fixed income securities valuation analytics; fixed income securities trading and residential mortgage origination pipeline management; and asset-liability management analytic and technical services.  Clients include banks, credit unions, mortgage banks, mortgage servicers, hedge funds, private-equity firms, specialty finance companies, securities broker/dealer firms, insurance companies, government entities, family offices and pension funds.

This position is primarily focused on developing/managing relationships with clients who trade small balance commercial loans. The secondary focus will be on providing clients with transaction advisory services for residential whole loans and valuation advisory services for their mortgage assets.  Firm provides good benefits, high payouts and limited account conflicts.  Experienced institutional salespeople looking for a dynamic, professional platform should apply.

Source/execute/close small balance commercial transactions
Build/maintain ongoing long-term relationships with existing/potential clients in the small to mid-market financial services space

Extensive small balance commercial trading experience
Strong network of relationships with potential clients/referral sources
Excellent interpersonal communications/sales skills
Strong project management skills and ability to execute transactions from start to finish
Desire to work on middle and lower middle market financial services transactions
Thrives in entrepreneurial environment
BS/BA required
Proven networking capabilities

If you are interested, please email your resume as an MS Word attachment to:
Tony Pietrzak
BCI - Financial Services Recruiting

Fund Director, CIM Group - Los Angeles

Fund Director, CIM Group - Los Angeles

Role and Responsibilities
Position Summary:
The Fund Director is responsible for the overall quality of the accounting and financial reporting of their Fund and the individual properties within that Fund, including oversight of the entire Fund accounting team. The Director will assist their staff as needed with respect to technical issues, problem solving and training.

CIM Group® is a full service urban real estate and infrastructure fund manager with approximately $15.8 billion* in assets under management.

Job Responsibility:
  • Review and assist as necessary with the preparation of monthly, quarterly and annual financial statements for the Fund and individual properties within the fund for external users, including banks, existing investors and potential investors.
  • Preparation, review and presentation of internal financial reporting and analysis, including quarterly asset management meetings.
  • Responsible for technical accounting compliance, including consultation with external auditors on complex accounting and tax issues as necessary.
  • Review and understanding of significant Fund and property level agreements, including the Fund LP agreement and Fund and property level debt agreements.
  • Assist with the preparation and review of loan documentation for Fund and property level financing and refinancing.
  • Coordinate with Investor Relations with respect to fulfilling ongoing and ad hoc requests from investors for financial information.
  • Coordinate financial reporting and accounting with multiple joint venture partners with varying levels of expertise.
  • Review of and input to annual property level budgets and forecasts.
  • Set up and maintenance of accounting records and procedures for asset acquisitions. Includes complex legal and joint venture structures.
  • Coordinate and interact with the Investments team with respect to accounting and reporting issues for new and ongoing investments.
  • Coordinate with the appraisal team regarding the annual property level appraisals and fair value adjustments.
  • Coordinate the annual audit of the Fund financial statements with the external auditor, including audit testing and review and preparation of the annual audited financial statements.
  • Direct interaction with investors. Although most communication will be through Investor Relations, direct communication with investors is required.
  • Update and presentation of the Fund and investment level IRR model, at a minimum on a quarterly basis.
  • Oversight and training of the Directors, Managers, Senior Accountants and Accountants working on the Fund team. Includes understanding of financial statements, general ledgers, subsidiary ledgers, budgets, cash flow projections and review of job cost reports.
  • Review contribution and distribution calculations, summaries and notices as needed.
  • Interact and coordinate with Information Technology staff regarding new software, systems, applications and systems deliverables.
  • Supervise staff of 1-10, including but not limited to conducting annual performance reviews, setting performance goals, providing on-going feedback, assignment of work, coaching and oversight of technical support
Qualifications and Education Requirements
  • Bachelor's degree in Accounting or Related Field.
  • + years’ previous accounting experience.
  • Real estate/private equity experience.
  • Mastery of key investment metrics (IRR, ROI, etc.).
  • Proficient in Microsoft Office, including Word and advanced proficiency in Excel.
  • Extensive knowledge of GAAP accounting principles.
  • Experience in Yardi, MRI, J. D. Edwards or comparable software.
Additional Notes
Please apply at the following website:*5EC73E0F73128493

Wednesday, June 25, 2014

Director of Research - So. Cal.

Director of Research - Southern California
Title:  Director of Research (77-007-111)
Location:  Southern California
Compensation:  Commensurate with experience
  • Manage the systems / process / data used by the Research Department
  • Manage the research work flow and directly manage the analysts, i.e to be their direct report
  • Responsible for the generation of reports including: Liquidity reports on portfolio investments/ Levels I, II and III fund and portfolio liquidity / Research reports on individual funds (including  regular updates on data and evaluations)  / Action Reports / Portfolio Risk Reports
  • Assist in writing fund write-ups
  • Provide the Director of Investor Relations with information for clients and for quarterly letters
  • Conduct risk analysis of the underlying funds / firm portfolios
  • Assess the impact of prospective funds on the various firm portfolios
  • Meet with existing managers in the portfolio to gain insight into their investing
  • Organize / manage the research track / process of candidate funds from identification to decision
  • Reports to the Portfolio Managers
  • College graduate w/demonstrated record of academic achievement
  • 4-7 years of relevant experience in an alternative investment organization (managing research for a fund of funds is a major plus)
  • CFA or CAIA charter/progression viewed favorably
  • Passion for investing/the ability to speak articulately about capital markets
  • Solid quantitative skills (statistics, finance, etc.)
  • Strong ability to evaluate the quality of prospective investments
  • Strong ability to evaluate existing investments/to monitor changes in performance/risk/reward/strategy/AUM/ staff/focus that could negatively/ positively impact investment in that fund
  • Strong organizational / managerial skills:  To work with, inspire, collaborate with, and evaluate his/her direct reports
  • Writing/verbal abilities to condense information into concise, accurate prose
  • Prior experience with fund database systems like Backstop/Cogency/Black Diamond/Pertrac
  • Self-starter/problem solver
If interested, please email your resume as an MS Word attachment to:
Julia Brown
BCI - Financial Services Recruiting

Tuesday, June 24, 2014

Guideline Compliance Analyst, PIMCO - Newport Beach

Guideline Compliance Analyst, PIMCO - Newport Beach, CA

Job Title:     Guideline Compliance Analyst
Job Description:
This is a challenging and exciting opportunity to work within the Legal/Compliance department at PIMCO managing investment guidelines in the company’s proprietary compliance management environment - ACE.

Primary responsibilities will include interpreting investment restrictions from different sources and creating rules within the compliance environment. An individual in this position will have frequent interaction with Account Management as well as the various teams both within Legal and Compliance and across the firm. Additional responsibilities include responding to email inquiries as well as participating in automation-related and guideline-review projects.
Position Requirements
  • Qualified candidate will possess working knowledge of fixed income markets/products including Derivatives.
  • An ideal candidate will have (i) experience with interpreting and implementing investment guidelines; and (ii) an understanding of compliance and legal/regulatory practices.
  • Experience with SQL a plus.
  • This position requires a four-year degree in Finance or Economics and/or equivalent work experience.
  • Candidate must be detail-oriented and possess exceptional communication and problem-solving skills.
  • Candidates must also have working knowledge of MS Word and Excel
PIMCO is an equal opportunity employer.
Application Instructions:
Please apply directly at PIMCO Careers page. Link is provided below.

VP, Institutional Sales and Marketing - So Cal

VP, Institutional Sales and Marketing - Southern California
Title: VP, Institutional Sales and Marketing (917-001-111)
Location: Southern California
Compensation: Commensurate with experience
  • Develop/execute a coordinated direct solicitation program aimed at winning investment mandates for pension plans/endowments/foundations/corporations
  • Develop detailed knowledge and understanding of firm investment strategies
  • Present knowledgeably on all aspects of investment management expertise to institutional prospects
  • Deliver regular sales presentations/RFP responses to institutional prospects
  • Work with the Director of the Business Development group and investment management staff (portfolio managers/consultant relations/client services/legal/compliance) throughout the firm to design strategic sales solutions and due diligence presentations meeting specific client needs
  • Maintain close, positive, on-going relations with clients in order to strengthen candidacy for future mandates
  • Maintain/develop relationships with Field Consultants
  • Build and maintain relationships by working with institutional prospects/clients as a partner; understanding, anticipating and meeting their needs on a timely basis
  • Increase market awareness and enhance firm’s brand name by hosting events/attending conferences/participating in associations and by increasing market visibility
  • 10+ years of direct institutional investment sales experience is desired
  • Experience with wide geographic coverage desirable; strong relationships in California and Texas coverage would be ideal
  • BA/BS degree required; MBA and/or CFA preferred
  • Generalist institutional client experience preferred, but relationships in the following spaces particularly desirable: public pensions, corporate, foundations and endowments
  • Knowledge of competitive products/distribution systems/consultant trends
  • Track record of stability and success ideal
  • Superior integrity, work ethic, and written/verbal communication and presentation skills
  • Drive to succeed and ability to develop relationships and win final presentations will be key measures of success
  • Must be able to travel
If interested in this opening, please email your resume as an attachment to:
Tony Pietrzak
BCI - Financial Services Recruiting

Wednesday, June 18, 2014

Mortgage Portfolio Officer - Ohio

Mortgage Portfolio Officer - Ohio

Title:  Mortgage Portfolio Officer (203-002-811)
Location:  Ohio
Compensation: Commensurate with experience
Oversee the management of the mortgage programs asset/liability position by designing, proposing, vetting and executing strategies.
  • Responsible for analyzing/recommending/executing purchases of MBS/Collateralized Mortgage Obligation (CMO) securities in accordance with the FMP, regulatory limitations and balance sheet management strategies
  • Researches payment discrepancies and coordinates with the Accounting Department
  • Monitors the composition and market risk profile of the mortgage portfolios
  • Lead in the determination, recommendation and execution, in accordance with the FMP and Asset Liability Committee approved balance sheet strategies, of the analysis and funding of the mortgage portfolios with a ladder of bullet and callable debt funding instruments including American and Bermudan callable Bonds/TAPS/Global debt
  • Oversees the funding of the floating rate MBS/CMO portfolio in conjunction with departmental officers utilizing Discount Notes, floating rate Notes and swapped funding
  • Manages Polypaths and optimization tools usage within the Treasury department including MBS pre-purchase analysis and MPP/Mandatory Delivery Contract (MDC) funding/hedging optimizations
  • Collaborates with Financial & Market Risk Analysis staff regarding the use of the prepayment, loss and option pricing models/proposed changes to the model and the analysis of other derivative instruments
  • Manages the ongoing relationship with dealers and analysts to assure the Bank has adequate coverage relating to MBS/CMO and the analytical resources to assist in managing the portfolio
  • Provides market color regarding MBS/CMO issuance and spread trends to indicate areas of value in the market
  • Complete callable bond analysis and daily review in the Debt Management System (DMS), making call decisions
  • Recommends and executes callable bond replacement strategies
  • Reviews and provides comments to senior departmental management on proposals for System-wide changes submitted by the Office of Finance, Funding Officer working groups or other regulatory agencies regarding aspects of debt issuance policies and procedures, capital markets activities, changing regulations and related issues
  • Provides guidance and training to the Investment Analysts by delegating projects, including the Investment Analysts in educational experiences and assuring deadlines are met and information is accurate
  • Performs other duties as assigned by management
  • BA – required
  • Masters or CFA – strongly preferred
  • 4+ years of work experience in the financial services industry including portfolio management or research/analysis
  • 2+ years trading experience in fixed-income securities including MBS or their derivatives
  • Extensive knowledge of the financial industry and capital markets, particularly fixed income securities and derivative instruments, investment practices, asset/liability analysis, and credit analysis (related to investments and derivatives)
  • Familiarity with interest rate, market and convexity risk metrics, funding gap modeling and cash flow forecasting and duration analysis
  • Exposure to generally accepted accounting principles relating to investments, debt instruments, financial hedges and off-balance sheet financial instruments
  • Knowledge of portfolio management and ability to manage a portfolio of mortgage securities by holding, selling, or buying selected securities to minimize the risk and maximize the return of a portfolio of investments in a buy and hold environment
  • Knowledge of the investment industry; in-depth knowledge of the legislative and regulatory environment and understanding of portfolio management constraints
  • Ability to act as a managerial advisor on professional and technical issues with a view toward reaching strategic decisions
  • Ability to make decisions and formulate an immediate plan of action to address potential issues/opportunities
  • Ability to pay close attention to detail since errors could result in significant monetary and/or reputation loss
If you are interested in this opening, please email your resume as an MS Word attachment to:
Tony Pietrzak
BCI - Financial Services Recruiting

Monday, June 2, 2014

Director of Annual Fund, Santa Margarita Catholic High School - Rancho Santa Margarita, CA

Director of Annual Fund, Santa Margarita Catholic High School - Rancho Santa Margarita, CA

Position Title:                                     Director of Annual Fund
Reporting Responsibilities:               Senior Director of Development
Duties:                                                Position has Responsibilities to:

1.      Plan, develop and implement a strategic plan of acquisition and renewal with objectives, timelines and evaluation plans for the Annual Fund program that includes identification, cultivation, solicitation, acknowledgement, and stewardship of constituents.

2.      Work closely with Sr. Director and President to solicit gifts from parents and friends including personal solicitations, telemarketing, web and mail programs for the Annual Fund.

3.      Promote community awareness and support for the annual fund program.

4.      Collaborate with Director of Alumni Programs to ensure, timelines and evaluation plans for the alumni are consistent with annual fund plan.

5.      Develop acquisition, renewal, and upgrade strategies associated with gift society members and other gift club societies.

6.      Ensure open communication with Sr. Director regarding contact of potential donors.

7.      Assists Senior Director of Development and President with Annual Report.

8.      Support school-wide fundraisers including annual gala, golf tournament and other school wide fundraisers and events.

Qualifications or Requirements:
Bachelor’s degree required with annual fund, major gift, and event planning experience preferred.  Must be a team player and have excellent interpersonal, organizational and writing skills.  Proficiency with Microsoft Windows package (Excel, Word, Publisher, Outlook). Attention to detail and accuracy. Highly motivated with demonstrated success in working with volunteers and experience with building supportive relationships

Work Schedule:
Full time, 12 month Exempt Position with benefits as outlined in the Employee Handbook.  Forty hour workweek, evening and weekend meetings and events will be required.

Interested candidates must submit a Resume and an SMCHS Classified Application.
Classified applications are at:

Please submit to
Pat Mollica
HR Manager
22062 Antonio Parkway, Rancho Santa Margarita, CA 92688

Friday, May 30, 2014

New app Blonk provides a way to identify workplace connections

This is not an open job position.
This info is provided in the hope that it is useful.

: New app Blonk provides a simple way to identify successful workplace connections. Like standard job listings sites, Blonk allows companies to post openings for job seekers to browse. Where it differs, however, is that candidates can also create personal profiles within the app; Blonk can then scan for specific skills applicable to a relevant job in order to create a match. At the same time, job seekers can search listings for which they are qualified and “like” those that interest them. When a “match” is made, both parties are alerted and a chat interface opens.

High Net Worth Wealth Manager - Fresno, CA

 High Net Worth Wealth Manager - Fresno, CA

Our client is eager to fill position below. After reviewing your profile, I thought perhaps you may know someone? Thank you for considering.

Skills and Certifications:
Series 7, 66 and Life Insurance Licenses
Experience in Wealth Management in the Agri-Business
Experience in trust administration
Private Banking lending, sales and services experience
Portfolio management experience
2+ year’s managerial experience
Knowledge of financial products and services
Consumer lending, credit, documentation and portfolio management experience

Candidate Experience 7+ to 10 years of experience
Management Experience Required - Yes
Minimum Education - Bachelor's Degree

Location: United States – California - Central Valley - Fresno *
Willingness to Travel – Often

To apply, contact Rob Smith, President at Newpoint Resources LLC

Thursday, May 29, 2014

Compliance Examiner - Member Regulation, Sales Practice, FINRA - Los Angeles, CA

Compliance Examiner - Member Regulation, Sales Practice, FINRA - Los Angeles, CA
Job Listing at FINRA in Los Angeles, CA (Job ID 003414)            


Location: Los Angeles, CA
Application deadline: None
Type: Not specified
Career Level: Not specified
Salary Range: Not specified
Number of Jobs: 1
Relocation Available: No
Show all jobs for FINRA
Description         We Work to Protect Investors. Join our Team.

FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Los Angeles, CA. To be considered for this position, please submit your resume through our careers site at No phone calls, please.

Job Summary:

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly.

Essential Job Functions:
  • Conducts examinations and other reviews related to FINRA member firms' finances and operations; sales, underwriting and trading practices; and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements.
  • Analyzes sales practices and investigates customer complaints, terminations for regulatory cause, and activities of broker-dealer personnel to assess fair treatment of customers.
  • Analyzes internal and supervisory controls in key areas of risk and evaluates broker-dealer systems to determine quality, reliability and compliance with requirements.
  • Assesses adequacy of member firms' financial condition and validates accuracy of regulatory filings, net capital computations and books and records.
  • Develops evidence and analysis in support of enforcement actions; conducts or participates in interviews and depositions of customers, member firm personnel and others; partners with enforcement attorneys in development of formal disciplinary actions; and testifies at administrative hearings.
  • Creates work papers to evidence scope of examination and the accuracy of findings.
  • Provides comprehensive written and verbal reports to broker-dealer executives and FINRA management, including information relating to regulatory concerns noted during examinations.
  • Acquires, maintains and continues to develop core skills and knowledge of relevant rules, regulations, and guidelines through completion of FINRA's structured training program, which includes attendance at instructor-led classroom training in Rockville, MD, self-paced learning (print-based and computer-based), and on-the-job training with the support of more experienced examiners or managers.
  • Candidates may have opportunities to coach and guide less experienced examiners.
  • May participate in special projects and initiatives.
Education/Experience Requirements:
  • Bachelor's degree in Finance, Accounting, Business Administration or an equivalent in education and experience.
  • Directly related experience in a securities, finance, regulatory or auditing role is highly preferred. Knowledge of FINRA and SEC rules and regulations is a plus.
  • Excellent interpersonal, written and verbal communication skills and competence with office software applications are essential.
The specific grade level for a successful candidate will be determined based on FINRA's assessment of level of supervision and guidance required by the candidate; level of expertise in securities products, practices, rules and regulations; and level of ability to independently conduct complex work in a quality manner.

Working Conditions:
Work is normally performed in an office environment, at FINRA premises or at member firms' offices. Extended hours are frequently required. Overnight travel (approximately 25%, plus an additional four weeks during the first year of employment to attend FINRA's training program) is required. FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers.

To be considered for this position, please submit a cover letter and resume.  A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter  into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA.  Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.


FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.  FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight.  In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates.  FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA’s touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.

All told, FINRA oversees more than 4,100 brokerage firms, more than 160,000 branch offices and almost 636,000 registered securities representatives. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE MKT, The NASDAQ Stock Market and the EDGA and EDGX Exchanges.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

FINRA has approximately 3,400 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

Find out more about us and how we work—and view our current openings—at

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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To be considered for this position, please submit a cover letter and resume.  A writing sample may be required as part of the submission.

Tuesday, May 27, 2014

Associate Investment Research Analyst, SageView - Irvine THIS POSITION HAS BEEN FILLED - DO NOT CONTACT

Associate Investment Research Analyst, SageView Advisory Group  - Irvine, CA

Compensation: $45,000-$55,000 Commensurate with experience

SageView Advisory Group is a Retirement Investment Advisory (RIA) Firm based in Irvine, CA, with several outside offices located across the U.S. We are a highly-focused financial services firm specializing in providing comprehensive customized retirement plan consulting, actuarial consulting, executive benefits, and wealth management services to corporate and individual clients throughout the United States. The primary role of the Associate Investment Research Analyst will be to support research efforts of the Investment Research team at SageView Advisory Group. This includes compiling information on various investment managers, tracking manager performance and assisting in the investment manager due diligence process. Other responsibilities include completing various ad hoc research projects, writing analysis reports. Meeting with mutual fund wholesalers and keeping up with important developments in the mutual fund industry, the markets, and the economy as a whole, would be added responsibilities.

Essential Duties:
- Produce quarterly reports for consultants and clients on investment managers and various ad hoc requests as needed
- Prepare a quarterly report of the top performing managers by category
- Conduct quantitative and qualitative analysis using our databases and proprietary software
- Compile and track information on various investment managers
- Develop clear opinions on mutual funds based on research that goes beyond mere performance and risk evaluation
- Assist in various aspects of the investment manager due diligence research process
- Compile financial markets data and economic statistics for research reports
- Attend onsite investment manger due diligence meetings and conferences
- Willing to learn about the retirement industry
- Keep up with important developments in the mutual fund industry, financial markets, and the economy as a whole

Minimum Requirements:
- 1-3 years investment industry or related experience
- Excellent written and verbal communication skills
- Knowledge of investments including attribution data, performance and valuation measures
- Technologically competent: familiarity with Word and PowerPoint; ability to learn new software packages (Morningstar Office, MPI Stylus, Bloomberg, and internal proprietary systems)
- Advanced Excel skills
- Extremely motivated and intellectually curious
- Ability to work well in a team environment, but also complete tasks independently and with little supervision
- Ability to prioritize projects with day to day responsibilities
- Thoughtful problem-solving skills
- Excellent business judgment and ability to recognize business implications of decisions
- Bachelor's degree in Finance / Economics
- Progress towards pursuing a Chartered Financial Analyst (CFA) designation is preferable

SageView offers a competitive benefits package, including 401(k), health and dental coverage, and paid vacation and sick leave.

If interested, please send resume and cover letter to Mark Hendrickson

Thursday, May 22, 2014

Sr. Investment Analyst, AAA - Costa Mesa

Sr. Investment Analyst, Automobile Club of Southern California - Costa Mesa
Sr. Investment Analyst
Job Code: 06815
Primary Location: Costa Mesa, CA, USA
Job Type: Full-time
Category: Accounting/Auditing/Finance

Job Description:

The Road to Success Starts Here!

The Automobile Club of Southern California is seeking career-minded individuals for our Sr. Investment Analyst opportunity in Costa Mesa, CA. This position provides support to senior executives in determining investment strategy, investing assets, monitoring investment performance and ensuring guideline and regulatory compliance. The Senior Investment Analyst position has the potential for involvement in any investment-related activities. General responsibilities will include the following: Compute performance on various accounts and composites. Prepare periodic performance reports for executive decision making. Prepare analyses on asset classes, investment types and investment strategies and make recommendations to senior management. Meet with potential investment managers, maintain database and assist with manager searches. Assist with oversight of existing investment managers. Assist with periodic asset allocation analyses for each entity. Monitor ERISA compliance (proxy voting, trading costs and soft dollars). Assist with due diligence and regulatory filings. Responsibilities also include asset/liability analyses, manager style analyses and portfolio management responsibilities.

Job Requirements:

Successful candidates have the following qualifications:
·        A bachelor’s degree and CFA (Chartered Financial Analyst) designation or CPA (Certified Public Accountant is required.
·        An MBA degree is preferred. For non-CFAs, progress toward the CFA designation is a job requirement.
·        Ten years or more of investment related work experience is preferred.
·        A high proficiency in Microsoft Office is required (particularly in Excel, but also including Word, Access and PowerPoint).
·        A working knowledge of Bloomberg is helpful.
·        We seek self-motivated, enthusiastic individuals with excellent attention to detail.
·        The candidate must have excellent writing skills (must be able to provide writing samples), strong quantitative and analytical skills, and a strong interest in, and understanding of, the financial markets.
Application process: Please apply directly to this job using the link. AAA will contact you directly should they like to move you forward in the process.