Friday, December 2, 2016

Investment Analyst, Whittier Trust - South Pasadena, CA

Investment Analyst, Whittier Trust Company - South Pasadena, California
Whittier Trust Company and The Whittier Trust Company of Nevada, Inc. (collectively “Whittier Trust”) are, respectively, California and Nevada state-chartered trust companies with over 125 wealth
management professionals and offices in South Pasadena, Costa Mesa, San Francisco, Reno and Seattle. Whittier Trust provides fiduciary, investment management, philanthropic and ancillary family office services to high net worth individuals and families, and their related trusts, foundations and other entities. Viewed collectively, Whittier Trust is the largest “multi-family office” headquartered on the West Coast and manages and consults on more than $10 billion in assets for 349 different families with an average account size of nearly $32 million.
For more information, please visit
The primary responsibility of the Investment Analyst is to support the functions of the Portfolio
Manager(s) and current investment analysts. The objectives are to provide relevant financial analysis and portfolio information to the Portfolio Managers, enhance the ability of the Portfolio Manager in
implementing their views in client portfolios and the preparation of exhibits/reports. Advanced Excel
skills, analytical and communication skills are prerequisites. Pursuit of the CFA charter may be supported for the right candidate.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned:
• The candidate will support and be mentored by multiple senior team members. Responsibilities include financial model building and updating, market research, and company research.
• Create and generate custom reports for Portfolio Managers to monitor accounts (Bloomberg, internal accounting programs, FactSet, Excel) as directed
• Assist with collecting, synthesizing and organizing equity, fixed income and economic research data
• Maintain and ensure accuracy of financial models. Provide summary of earnings conference calls to
Analysts to assist in evaluating recent company performance. Disseminate information to internal departments as applicable.
• Provide research using Bloomberg, FactSet, and other data providers to create reports and graphs for client presentations as directed
• Assist in monitoring client portfolio asset allocation and liquidity
• Assist in analyzing portfolios to ensure they reflect Whittier Trust sector and security outlook
• Assist with implementing portfolio changes across accounts
• Assist in providing oversight to ensure trades are made in accordance with client investment policy
• Maintaining and tracking composite performance
• Binding presentation books for existing clients and prospects
• Ad hoc tasks for Portfolio Managers as directed
• Strong academic credentials
• Bachelor’s Degree in Finance, Accounting, Economics or related field
• Demonstrated experience in financial modeling and analysis
• Excellent quantitative and analytical skills
• Strong interest in stock analysis
• Advanced computer skills using Microsoft Office, with particular expertise in Excel & PowerPoint
• Strong verbal and writing skills
Desired Qualifications:
• 1-3 years of related investment experience
• Knowledge of and experience using FactSet and Bloomberg
• Demonstrated knowledge of financial markets
• Progress towards CFA Level 1 or better a strong plus
• Ability to communicate (orally or in writing) with clients and articulate portfolio holdings, asset
allocation and strategy regarding their account
• Strong Excel skills with ability to build analytical models and custom reports
• Familiarity with Bloomberg, FactSet and APX a plus
Resumes and corresponding documentation may be submitted confidentially to

Thursday, December 1, 2016

Sr Capital Mkts Analyst, loanDepot - Foothill Ranch, CA

Senior Capital Markets Analyst, loanDepot  - Foothill Ranch, California
Position Summary:
The Senior Capital Markets Analyst will be a key member of the loanDepot MSR team whose primary tasks involve the support of mortgage servicing rights valuations, risk management and reporting, co-issue best execution analysis, servicing performance analytics, prepayment and risk modeling, and asset return analysis. 

Essential Job Functions: 
-Support daily and monthly valuation of mortgage servicing rights
-Support MSR hedging with risk analytics/reports
-Support co-issue best execution pricing/volume analysis
-Support DCF analysis of total asset return, including NPV, IRR, and financial statement impact
-Utilize third-party models including Compass Analytics, ADCO Prepayment Model, and CoreLogic RiskModel in valuation and analysis activities
-Conduct data querying, manipulation, transformation and analysis of large datasets
-Conduct reporting/surveillance of servicing portfolio performance

Principal Challenges:
-Critical thinking and problem solving skills, ability to analyze and interpret data, financial analysis skills
-Good communication skills, ability to work both independently and collaboratively, demonstrate initiative
-Strong organizational skills, ability to execute on complex projects with autonomy and close attention to detail 
-Adaptability to changes and shifts in priorities 
-Multitasking skills, ability to manage competing deadlines  

-Bachelor’s degree required, preferably in a quantitative discipline (finance, engineering, science, or mathematics)
-Experience in finance or finance-related field required, mortgages and fixed income preferred

Job Knowledge:
-Complex financial analysis and valuations
-Data querying, manipulation, and analysis
-Excel, SQL, and VBA required 
-SAS, R, and Python preferred

Candidates willing to relocate will be considered.

Tuesday, November 15, 2016

HNW Sr Prod Spec, Capital Group - Los Angeles

High Net Worth Senior Product Specialist, Capital Group  - Los Angeles

Req ID: 5121
Experience Level: Professional
Travel required: a. Up to 25%

Come grow with us
At Capital Group, how we work is defined by shared values that include absolute integrity, respect and collaboration. But it's more than that. It's smart and highly driven people united in purpose to serve our investors and one another.

Bring your energy and unique perspective to Capital and you'll have the opportunity to grow with us professionally, personally, and financially. You'll be part of a team that genuinely cares about helping you succeed. You'll work alongside talented colleagues, many of whom build long careers while progressing through multiple roles, establishing lifelong friendships and making a difference in our communities. In return for your contributions, you'll receive premier compensation and benefits, and a company-funded retirement plan that ranks among the most generous.

Investment Services includes the product management team of Capital Group. Its mission is to recommend strategies and solutions that align the needs of clients with Capital Group's capabilities. The team manages the existing product portfolio and makes recommendations on new product development and services in support of broader strategic and business objectives.

As a Senior High Net Worth (HNW) Product Specialist, you will serve as a critical contributor of the product management team at Capital Group and be dedicated to all products and services identified as being instrumental to helping increase CG's high net worth presence. Your primary responsibilities will include supporting existing products aligned with the HNW business, assessing product and capability gaps, and monitoring competitive positioning. You will contribute to product strategy and planning of new investment solutions and provide High Net Worth business acumen support to the sales force.

  • Supports individual product or products related to and used by high net worth individuals
  • Serves as a subject matter expert and consults with various internal groups (e.g., sales, service, and external clients) regarding product inquiries and enhancement requests.
  • Guides business partners through issues of higher complexity and advises on standard and best practices; escalates issues or concerns to senior managers and managers, as appropriate
  • Provides input and expertise to project leads during project design and development phases
  • Ensures product information is accurately represented in product catalog as well as training documents, literature (e.g., sales material, forms), and online
  • Supports Product Managers in the creation, analysis and development of product plans, business cases and performance reports
  • 5+ years of related investment management industry experience
  • Demonstrates in-depth knowledge of product construction, rules and regulations, sales and marketing approach, and services offered. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area.
  • Demonstrates ability to influence groups and/or more senior associates.
  • Demonstrates working knowledge of Capital Group's business and ability to apply it to work assignments
  • Project management experience and strong organizational skills
  • Strong analytical skills and sharp attention to detail. Knowledge of the high net worth channel, product construction, rules and regulations, sales and marketing approach, and services offered, and ability to apply knowledge to work assignments highly desirable.
  • Demonstrates effective written and oral communication skills with team members and managers
  • Demonstrated experience collaborating and working effectively with a variety of associates and as part of a team
Company Overview:
Founded in 1931, Capital Group is one of the world's largest and most trusted investment management companies and home to the American Funds. We manage more than US$1.39 trillion in assets, and our 7,500 associates make our clients their first priority every day. When we do our job right, millions of investors around the world fulfill their dreams and financial goals, from home ownership and higher education, to a comfortable retirement. Our long-term investment results and outstanding service set us apart from our competitors, while our workplace sets us apart from other employers.
Apply on company website.

Risk & Quant Solutions Analyst Sr, Capital Group - Los Angeles

Risk and Quantitative Solutions Analyst Senior               
Req ID: 4006
Experience Level: No Selection

Come grow with us 
At Capital Group, how we work is defined by shared values that include absolute integrity, respect and collaboration. But it's more than that. It's smart and highly driven people united in purpose to serve our investors and one another.

Bring your energy and unique perspective to Capital and you'll have the opportunity to grow with us professionally, personally, and financially. You'll be part of a team that genuinely cares about helping you succeed. You'll work alongside talented colleagues, many of whom build long careers while progressing through multiple roles, establishing lifelong friendships and making a difference in our communities. In return for your contributions, you'll receive premier compensation and benefits, and a company-funded retirement plan that ranks among the most generous.

Role summary: Demonstrates full knowledge in assigned area and is an experienced sole contributor. Provides independent, rigorous analysis to inform portfolio construction decisions and highlight major risk positions within Capital's Fixed Income portfolios. Proactively conducts quantitative and qualitative analyses for portfolios. Represents risk management practices in internal and external meeting. Develops the framework for risk management monitoring and reporting processes.

  • Proactively conducts rigorous quantitative analysis on Fixed Income portfolios and markets to inform portfolio construction
    • Proactively conducts portfolio reviews to identify key risks in portfolios.
    • Advises Portfolio Managers on the risk characteristics of their portfolios.
    • Communicates ideas and recommendations to Portfolio Managers to influence portfolio construction decisions.
    • Performs quantitative analyses and provides recommendations to help formulate internal portfolio risk guidelines.
  • Represents the Fixed Income risk management practices and policies to investment professionals and external clients / parties
    • Presents analytics and findings to the Fixed Income investment group and oversight groups.
    • Relays risk management processes and policies to external clients. Educates clients on Capitals' portfolio risk strategies taking into account the client's specific needs and concerns.
  • Develops risk management and surveillance solutions
    • Develops risk methodology and scenario analysis capabilities to enhance risk assessment in Fixed Income portfolios.
    • Develops top down and bottom up portfolio risk reports to identify and monitor the major risks in portfolios.
    • Maintains the data integrity of our security level analytics for Fixed Income portfolios and benchmarks.
    • Evaluates, maintains, and validates third party analytic systems (attribution, tracking error, etc.) and valuation models (interest rate, prepayment, credit, etc.).
    • Performs quantitative analyses and provides recommendations to develop system solutions required for client, internal and regulatory risk analysis.
    • Works with the Investment Group and technology associates to ensure the quality of the analytics used in our proprietary portfolio construction and trading applications.
  • Performs additional responsibilities as assigned.
  • Demonstrates intellectual curiosity and analytical skills in areas of high complexity.
  • Demonstrates sound judgment in resolving matters of high complexity.
  • Demonstrates initiative by identifying issues and recommending solutions on complex and broad matters.
  • Demonstrates effective written and oral communication skills with a diverse group of associates, senior business leaders and a diverse group of individuals outside the organization.
  • Demonstrates ability to collaborate and develop/maintain working relationships inside and outside the organization to enable effective completion of business objectives.
  • Demonstrates effectiveness in leading/facilitating with senior business leaders on broad/controversial topics inside and outside the organization.
  • Demonstrates in-depth knowledge of quantitative disciplines. Exhibits knowledge in current and possible future policies, practices, trends, technology and information affecting the department/business area.
Company Overview:
Founded in 1931, Capital Group is one of the world's largest and most trusted investment management companies and home to the American Funds. We manage more than US$1.39 trillion in assets, and our 7,500 associates make our clients their first priority every day. When we do our job right, millions of investors around the world fulfill their dreams and financial goals, from home ownership and higher education, to a comfortable retirement. Our long-term investment results and outstanding service set us apart from our competitors, while our workplace sets us apart from other employers.
Apply on company web site.

Monday, October 17, 2016

Portfolio Assoc, Short Term Trading, PIMCO - Newport Beach

Portfolio Associate, Short Term Trading Desk, PIMCO - Newport Beach
Title – Portfolio Associate, Short Term Trading Desk
Location – Newport Beach
Portfolio Associates must build solid internal relationships and partnerships with Portfolio Management and Account Management across the firm’s global offices. Additionally, the role frequently interacts with Product Management, Legal and Compliance, and Operations teams.

Portfolio Associates provide:
• Portfolio summaries
• Portfolio monitoring
• Performance and attribution analysis in addition to other requested analytics

Responsibilities include:
• Allocation of daily cash management and funding activity
• Managing real-time cash forecasting as liaison between Cash Desk and PMs
• Creating reports for risk monitoring
• Monitoring client portfolios’ position weights and product versus client guidelines
• Interacting with Compliance Department
• Assisting in Account Transitions
• Re-balancing of portfolios to model/target weights
• Generating allocation studies across a set of mandates or products in accordance with investment guidelines and benchmarks
• Responding to ad-hoc requests from the Portfolio Management team
12 hour work day typical; 4am PT start time
Job Requirements:
• 1-3 years of experience; strong, relevant internship experience acceptable
• Fixed Income technical skills and experience in a buy or sell side trade room
• Strong relationship skills and proven ability to build strong relationships with Portfolio Managers
• Well-refined communications skills. Able to work and communicate flawlessly with experienced Portfolio Managers. Can articulate ideas and strategies clearly, both verbally and in writing.
• Outstanding analytical skills with a proven ability to solve problems on a timely basis.
• Proven ability to operate efficiently in a high-pressure environment.
• Enjoy working collaboratively across the organization (especially with account managers) to resolve issues.
• Advanced abilities with Excel, SQL, business objects, and Bloomberg.
• Bachelor’s degree and strong academic record with concentration in math, science, finance, economics or other related quantitative/analytical field from a leading, accredited college or university.

PIMCO is an equal opportunity employer

Please apply to

Thursday, October 13, 2016

Office Asst & Jr. Compliance Analyst, Advisor Solutions - Newport Beach

Office Assistant & Jr. Compliance Analyst, One Full-Time or Two Part-Time Opportunities, Advisor Solutions Group, Inc. - Newport Beach

Title: Office Assistant & Jr. Compliance Analyst, One Full-Time or Two Part-Time Opportunities
Company: Advisor Solutions Group, Inc., Newport Beach, California

Description: Advisor Solutions Group, Inc. ("ASG") is an established, growing regulatory compliance consulting firm providing comprehensive and customized compliance solutions to small and mid-sized registered investment advisers. ASG is seeking one full-time or two part-time individuals to assist with office administration and also to work closely with the other compliance team members and assist the team in supporting ASG’s investment adviser clients with customized compliance solutions.
The successful Office Assistant candidate will be responsible for the following:
  • General administration: Handle incoming inquiries; prepare general correspondence; scan documents; perform data entry; maintain company and client files (both electronic and hardcopy); provide administrative support for the entire office; other duties, as required.
  • Light accounting: Prepare client invoices; record income; process bank deposits; follow up on outstanding invoices.
  • Project administration: Maintain client databases; ensure that systems are in place to track and follow up on all items.
  • Specialized Tasks: Complete other tasks, special projects, and assignments as necessary.
  • Compliance Analyst job duties will include, but are not limited to:
  • Supporting the Compliance Consulting team
  • Drafting regulatory filings
  • Drafting disclosure documents
  • Drafting written compliance policies and procedures for clients
  • Reviewing marketing materials
  • Creating forms and compliance calendars
  • Assisting with annual review testing
  • Researching rules and regulations
  • Staying current on relevant regulatory changes
  • Completing special projects as assigned

The ideal candidate will demonstrate the following:
  • 4-year college degree in accounting, business, law or related discipline preferred; or progress toward a degree for part-time position
  • 1+ years experience in an office setting preferred
  • Excellent organizational skills with timely and thorough follow-through
  • Exceptional attention to detail and willingness to double check work for accuracy
  • Ability to prioritize work to balance multiple projects and deadlines
  • Self-starter with the ability to work under limited supervision in a small office environment
  • Effective oral and written communication
  • Exceptional customer service skills with a professional manner on the telephone and in person
  • Proficient in Microsoft Word/Excel/Outlook, QuickBooks
  • Entrepreneurial spirit and team player
  • Unparalleled integrity and excellent work ethic
  • Strong desire for a career in compliance a plus

What we offer:
  • Exciting career position with growth opportunity
  • Salary (base + bonus) commensurate with relevant experience
  • Medical, Dental, Life, and LTD Insurance
  • 401(k) with Company Match & Profit Sharing Plan
  • Paid Time Off
  • Flexible work schedule
This entry level position presents an opportunity to gain experience in the financial industry and is ideal for a detail oriented individual who is energetic and seeking a long-term career in compliance. Responsibilities may increase with the growth of the firm and increased experience.

To apply,
please e-mail your resume and salary history & requirements to

Tuesday, September 27, 2016

WIM Investment Management Development Program, Wells Fargo - Long Beach, Vegas, Austin

WIM Investment Management Development Program, Wells Fargo - Long Beach, Vegas, Austin

Wells Fargo will accept applications for the 2017 WIM Investment Management Development Program on October 17th, 2016

This will be a 1-day only posting. 

We have 4 seats avilable located in (2) Long Beach,CA; (1) Las Vegas, NV; (1) Austin, TX. Please share this job oppertunity with your respective chapter body.
To apply to the position, please visit our web-site at  If you do not currently have a Wells Fargo profile you will need to register and create a “searchable” profile.  I have listed the instructions below on how to set up a profile.  Once a profile is created, you can search for the position.  In the “Job Opening ID” search field please type in the Job ID #5277234. You can also search by keywords “2017 Investment Management Development Program”.  Once the job comes up, click “Apply Now”. 
Program Eligibility Graduation
Date Range
Posting Dates/Information
Investment Management Development Program (IMDP)
24 month development program for new business and revenue generation to increase their investment acumen, hone their professional presence, learn how to identify and pursue new business opportunities and ultimately begin to manage investment accounts. The goal is to have the incumbent transition to an Investment Manager if their job performance supports the move.
A Masters of Business Administration (MBA) or Chartered Financial Analyst (CFA) Designation.
·          The position will be posted through the WellsFargo/Careers website on Oct 17th, 2016
·          The Job ID number will be # 5277234
·          4 seats available (Long Beach, Las Vegas, Austin)
Job Posting Date:  October 17, 2016 Only
  • The position will be posted through
  • The Job Opening ID number will be #5277234
  • This is the only time the requisition will be posted so it is very important that you apply before 11:59 PM CST on October 17th. 
Create/Update Profile on Wells Fargo Careers site:
To create a new profile on our Careers site, follow the steps below.  If you have already created a profile, please ensure your information and resume are up-to-date.
  1. Go to the Wells Fargo Careers home page at
  2. Click on ‘Search Jobs’
  3. Click on ‘Search Jobs Now’
  4. If you have not already created a "searchable" profile, select  New Job Seekers - Register Now’ to begin creating your "searchable" profile.
  5. Enter your email address and create a password then click ‘Register’.
  6. Complete your profile and click on ‘Submit Profile’ at the end.
Create a Job Agent:      Create a Job Agent to notify you when IMDP positions are posted.  You will be sent an email the day they open.  Instructions are attached.
Email:     Adding to your approved senders list will prevent further communications from going directly to your junk/spam folder.
  • 2017 Investment Management Development Program
  • Job Agent Instructions
To learn more about Wells Fargo perspectives, please visit Wells Fargo Blogs and Wells Fargo Stories.

Friday, September 23, 2016

Private Client Associate - Los Angeles


Asset Manager seeks Associate to work as part of a team with several Financial Advisors.

Degree from a highly competitive university and relevant industry experience required.

Required: analytical, written/oral communication, organizational, computer.

Responsible for all aspects of client servicing, portfolio analysis, research, account creation, maintenance and reconciliation. Series 7 preferred. 

  Please send resume to

Monday, September 19, 2016

Investment Assoc, San Manuel Indians - Highland, CA

Investment Associate, San Manuel Band of Mission Indians  - Highland, California
Highland, California
Under the administrative and technical direction of the Director of Investments, the Investment Associate performs analytical tasks on behalf of the San Manuel Band of Mission Indians investment portfolios and assists in analyzing investment manager portfolios. 
The work involves assisting in the administration and analysis of investment portfolios managed by external investment managers. The work also includes activities such as developing and maintaining the investment risk management monitoring program, analyzing investment manager strategy and portfolio results, assisting in the ongoing monitoring of managers, and performing asset allocation studies.  The Investment Associate is the primary party responsible for data collection, management and analysis for the total portfolio, underlying investment managers, and general market research.
Essential Duties & Responsibilities
  • Helps conduct asset allocation studies. Collects data and information from Bloomberg and investment managers to develop expected return and risk forecasts for the portfolio and managers.
  • Assists in monitoring capital markets and maintaining knowledge of current market trends and practices.
  • Aggregates information from managers on outlook for asset classes and investment themes.
  • Analyzes risk factor exposures for portfolio and managers.
  • Assists in monitoring external asset managers for investment performance and research.
  • Statistically compare investment managers against one another on various metrics.
  • Assist in the research and analytics for quarterly Investment Strategies Update newsletter.
  • Develop templates in excel that can improve and enhance Investment Staff’s understanding of investment managers exposures and attribution.
  • Run regressions and return analysis on managers in excel.
  • Participates in quarterly calls with current and prospective investment managers.
  • Prepare manager analysis for monthly Board meetings.
  • Security-level analysis to assist Staff when interacting with investment managers.
  • Potential to write post-meeting analysis on managers for team distribution.
  • Assists in analyzing and implementing investment analytic systems and makes recommendations for workflow and reporting improvements.
  • Manage our portfolio oversight and risk management system called Caissa.
  • Create customized templates and output for internal and committee reports.
  • Work with investment managers to ensure high quality data is reported to our risk systems.
  • Assists in monitoring external asset managers for contract compliance, investment performance, and conformance with fiduciary standards.
  • Monitors managers’ balances and disbursements, performance fee calculations and reconciliations with the Master Custodian.
  • Processes various investment and legal documents, monitors the process through to completion, and distributes the completed documents to the appropriate parties (this includes subscription and related docs, wire direction letters, additional subscription/redemption forms, etc.).
  • Performs monthly investment manager performance and asset reconciliations.
  • Acts as liaison between custodian banks, investment management firms and the brokerage community.
  • Prepares the quarterly performance report and supporting schedules.
  • Performs specialized research in various areas of corporate governance, manager and regulatory compliance, and prepares detailed reports and analysis.
  • Reviews and summarizes relevant investment manager agreements and related documents for compliance and reporting requirements.
  • Develops and enhances internal compliance monitoring policies and procedures.
  • Monitor our CRM system to ensure high quality information and research is up-to-date.
  • Prepares and maintains spreadsheets/databases (manager register, compliance spreadsheets, etc.).
  • Ad hoc research and analytical projects as determined by the CIO and Director of Investments.
  • General statistical and analytical work to make the team progressively best in class in portfolio management.
  • High school diploma required.
  • Bachelor’s degree in mathematics, statistics, economics or accounting preferred. Equivalent combination of education and progressive, relevant and direct experience may be considered in lieu of Bachelor’s degree.
  • Enrollment in or completion of the CFA or CAIA programs or the completion of the Fundamentals of Alternative Investments Certificate Program.
  • High level proficiency in Microsoft Excel required, with Word and PowerPoint preferred.
  • Ability to work in a time-sensitive environment, be proactive, and able to handle confidential material a must.
  • Strong attention to detail required.
  • Strong research and problem solving skills essential.
  • Proficient in handling multiple tasks simultaneously.
  • Effective written and oral communications beneficial.
  • Enrollment in the CFA or CAIA programs desirable.
  • Must undergo and successfully pass a thorough pre-employment background investigation including criminal, credit, education, verification of work history and professional references.
 Physical Requirements/ Working Conditions – Environment
The physical demands and working environment described here are representative of those that an employee encounters and must be met by an employee to successfully perform the essential functions of this job. 
  • Primary work environment is in a climate-controlled office setting.
  • Must be able to work in a fast paced, high demand environment.
  • Must be able to work on a computer for extensive amounts of time on a daily basis.
  • Hearing sufficient to hear conversational levels in person and over the telephone.
  • Speech sufficient to make oneself heard and understood in person, in front of groups, in meetings, and over the telephone.
  • Visual acuity to determine the accuracy, neatness, and thoroughness of the work assigned, or to make general observations of facilities, guests and employees.
  • Strength sufficient to frequently lift and/or move up to 10 pounds below or at waist level and occasionally lift; move or carry objects over 40 pounds below and at waist level with assistance.
  • Mobility sufficient to safely move in an office environment; walk, stoop, bend, kneel, enter and exit.
  • Endurance sufficient to maintain efficiency throughout the entire work shift and during extended work hours.
San Manuel Band of Mission Indians and San Manuel Indian Bingo & Casino will make reasonable accommodations in compliance with the Americans with Disabilities Act of 1990.
All applications must be completed through the San Manuel website at the link below.  INVESTMENT ASSOCIATE

Tuesday, September 13, 2016

Investment Analyst, Anfield Cap Mgt - Newport Beach

Investment Analyst, Anfield Capital Management, LLC - Newport Beach
Anfield Capital Management, LLC (“Anfield”) is seeking a full-time Investment Analyst.  The Investment Analyst serves a unique and dynamic role that is based around the core responsibility of working with the Portfolio Management team. The Investment Analyst role is a professional career track toward the most senior positions in the firm, and while an MBA and/or CFA (Chartered Financial Analyst) is not required, it is expected that the successful candidate will want to pursue higher degrees and designations as part of their career development.
The primary responsibility of the Investment Analyst is gathering, analyzing, and discussing economic and a broad range of asset market trends, evaluating portfolio structures and strategies, and delivering performance attribution analyses.  The secondary responsibilities are generalist in nature and will involve working with the firm’s client service, business development and executive functions to build Anfield Capital.  The role is entry level to moderate experience.  Salary is commensurate with experience and competitive with the market. 
Over time the role will expand to include activities such as analyze, and discuss market trends and data with colleagues and clients. Analyze portfolio characteristics in the context of broader investment themes. Evaluate risk reports, perform attribution research and conduct scenario analysis. Create customized client reports and respond to ad-hoc inquiries. Draft internal presentations and prepare client-servicing materials. Summarize and explain complex financial and economic concepts to educate clients.
Demonstrated proficiency with: 
  • Microsoft Excel and strong knowledge of software applications in general, including but not limited to databases, query tools and trading platforms (e.g., Bloomberg)
  • Self-starter, ability to produce high quality and accurate work within the firms demanding and highly focused environment
  • Outstanding relationship building skills
  • Ability to clearly articulate analysis, written and verbally
  • Knowledge of asset allocation, equity, and fixed income securities and portfolio management techniques
  • Work effectively with all levels of personnel as part of a team.
  • Excellent time management, multi-tasking, organization and communication skills.

Must possess a four-year college degree with a preferred major in Business/Finance, Economics, or Accounting.
Ideal candidates should have 1-3 years of experience in financial services, asset management, investment banking or accounting.  However, we are open to candidates with no prior related work experience.  A strong background and/or interest in economics, investment markets, investment analysis, asset allocation, and portfolio management is preferred.

All interested and qualified candidates should forward their resumes to:
Mark W, Okey, Esq.
C/O Anfield Capital Management, LLC.
4695 MacArthur Court, Suite 430
Newport Beach, CA  92660

Anfield is an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.
About Anfield Capital Management.
Since 2009 Anfield has a proven track record of success in Portfolio Management and Client Service, with over $290M assets under management.  Anfield is comprised of a team of highly experienced senior executives from top-tier firms, including PIMCO, Bear Stearns, Jeffries & Co. and Salomon Asset Management. The team has worked together for over 10 years and has over 100 years of combined experience managing billions in client assets.  Anfield serves as the advisor to the Anfield Universal Fixed Income Fund (“AFLIX,” 4 star rated by Morningstar) and is responsible for the Fund’s investment portfolio according to its investment objectives and policies. Anfield Capital Management, LLC is a registered investment advisor.



Tuesday, September 6, 2016

Equity Research Intern, ROTH – Newport Beach

Equity Research Intern, ROTH Capital Partners – Newport Beach, CA

Sector: Cleantech

We seek a recent graduate to join our team as an Equity Research Intern. The internship has the potential for a full-time position. Our Cleantech practice primarily focuses on the solar industry with some exposure to other sectors such as renewable power generation in general, energy efficiency, energy storage, among others.

Application Requirements
• Ability to work 30 hours per week.
• Fluent in Mandarin Chinese.
• Must be a recent graduate and out of school.

Job Description
• Sell-side equity research at a boutique investment bank.
• Maintain market intelligence system and provide ongoing monitoring of the Cleantech industry.
• Examine market data to identify and analyze current and industry trends and provide ongoing findings.
• Assist with preparation of research reports and notes on companies for distribution to institutional clients.
• Conduct primary research, surveys, and interviews.
• Develop financial models and conduct financial statement analysis to evaluate historical information and
generate earnings forecasts.
• 30 hours per week at minimum wage.

• Bachelor degree.
• Superior quantitative, analytical, and writing skills.
• Capacity to quickly digest and synthesize substantial volumes of information in a short period of time.
• Detail-oriented.
• Excellent communication skills.
• Strong work ethic and intellectual curiosity.
• Good organizational and time management skills.
• Entrepreneurial spirit and ability to work on a small team.

This position is available immediately. If interested, please send a cover letter and resume to Justin Clare,

Thursday, September 1, 2016

Sr Financial Adv, VP, UnionBanc Inv - L.A. area

Sr Financial Advisor, Vice President UnionBanc Investment Services - Westwood, Brentwood & Century City, California

UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals.

Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements. 
Job Summary:   Responsible for the advising, selling and servicing of UnionBanc Investment Services products and services.
Major Responsibilities:    Responsible for the advising and servicing of UnionBanc Investment Services products to internal and external prospects of the bank. These activities include: Profiles clients by obtaining financial information and suitability information. Advises on the customized investment needs. Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs. Advices to customers on a wide range of comprehensive investment products that include stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc. Interprets financials market information on pricing, PE information, volume trends, etc and other updates. Follow ups with client contact to close the sales. Requires extensive financial analysis review of the client's financial statements and assessment of suitability of investment products. Responsible for new sales generation thru referral activities. Maintains existing relationship with clients in order to manage future investment needs. Conducts marketing campaigns and business development functions, such as seminars and client appreciation events. Responsible for expanding customer relationships. Works with assigned branches to enhance the overall banking relations and Bank wide products offered to customers Responsible for all administrative compliance activities. - Completes and maintains all required paperwork associated with the sales and maintenance of client accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done. All sales must be documented and paperwork provided must be able to support all recommendations and suitability requirements. Paperwork must be sent in for master files and individual files must be maintained at the branches for auditing purposes and follow-up. Each branch office must office be maintained by reps to satisfy regulatory requirements. Working space and literature must adhere to compliance requirements and be kept updated accordingly.
Additional Information:
Requires FINRA Series 7, 6 or 63 and CA Life & AD&D Insurance Licenses.  Generally requires a minimum of 5  years of proven investment sales rs of proven investment sales experience. Requires the ability to maintain a book of clients. Requires developed verbal and written communications and interpersonal skills. Must show success in soliciting new relationships and customers.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category. 
Job: Sales
Other Locations: FEB 2, 2016, 9:46:29 AM
Shift: Day
Schedule: Full Time