Wednesday, September 2, 2015

President, Wealth Mgt, Anfield - Newport Beach

President, Wealth Management, Anfield Advisors - Newport Beach

Anfield Advisors, a Newport Beach based wealth management firm with a 6-year operating history, seeks a President to grow the financial advisory business.  The current Founder and CEO wants to focus on the sister company, Anfield Capital Management, a rapidly growing investment management business run by a well-known team of senior executives from PIMCO.  Attractive revenue-based compensation with meaningful equity ownership for qualified candidate.  Full autonomy provided. 

Primary Duties and Responsibilities:
·         Build the wealth management business to a multi hundred million dollar firm through organic growth, recruitment and acquisitions. 
·         Maintain ongoing client relationships and lead in the development of new client relationships with a strong focus on helping clients achieve their investment goals. 
·         Coach and mentor the team of three financial advisors and one business / client relationship manager.
·         Utilize full service, open architecture to provide the optimal client experience.  Anfield uses the Schwab platform.

The Ideal Candidate Should Possess:
·         Minimum of five years related financial planning and client relationship management experience with solid track record of developing new business
·         Bachelors or Masters degree preferred
·         FINRA Series 7, 65 and 63 licenses (or ability to obtain within 120 days of assuming position)
·         Proficient wealth management planning abilities
·         Exceptional client relationship management skills (both internal and external client facing) and strong business development capabilities
·         Demonstrated ability to coach and develop internal business partners
·         Excellent written and verbal communication skills
·         Established network of professional centers of influence (e.g., attorneys, CPAs, business managers, etc.)
·         Self-sustained by existing client book is a strong positive

Interested Candidates should send resumes to

Tuesday, August 25, 2015

Investment Analyst, Pathway – Irvine, CA

Investment Analyst, Pathway Capital Management – Irvine, CA

Pathway Capital Management, LP, a leading institutional investment management firm that creates and manages specialized private equity funds of funds for institutional investors worldwide, seeks an Investment Analyst. Investment Analysts monitor client portfolios and analyze potential private equity fund investment opportunities. Investment Analysts work closely with Associates, Vice Presidents, and Directors on small client and due diligence teams. Responsibilities include:

  • Analyzing financial statements of private equity partnerships, including a review of partnership portfolio company valuations and cash flows
  • Preparing client reports and presentations
  • Assisting with special reporting, research, and due diligence projects on an ad hoc basis
  • Performing an initial quantitative and qualitative review of potential private equity fund investments
  • Conducting in-depth quantitative analysis of potential private equity fund investments
Requirements include:

  • 1—2 years of analytical experience in investment banking, consulting, audit, investment management, or other similar fields
  • A bachelor’s degree in business, finance, economics, business economics, or related field with a record of high academic achievement
  • A strong interest in investments and the capital markets
  • Strong quantitative and analytical skills
  • Strong interpersonal, communication, and writing skills
  • Ability and desire to work in a collaborative environment
Company Background

Pathway Capital Management creates and manages specialized private equity funds of funds for institutional investors worldwide. Pathway’s founders have accumulated significant experience as a team, working with more than 50 institutions in the development and management of their fund investment portfolios since 1991. Pathway's clients include some of the largest corporate and public pension plans, government entities, and financial institutions in North America, Europe, and Asia.

Pathway has analyzed over 6,100 private equity fund opportunities for potential investment and has monitored over 900 private equity partnership investments. Pathway's senior professionals have established long-term relationships with leading general partner groups and a reputation in the industry that give us continued access to the highest-quality investments. As a result, Pathway has consistently created successful private equity programs for clients and has remained a leader among private equity management firms.

Pathway’s 35 investment professionals work out of offices in California, Rhode Island, and London. Pathway is an independent company, wholly owned by its 18 senior professionals.

To apply, please contact:

Tuesday, July 21, 2015

Chief Financial Officer - Oakland, CA

Chief Financial Officer - Oakland, CA
Title: Chief Financial Officer (1015-3)
Location: Oakland, CA (BART Accessible)
Compensation:  Generous Base Salary
The CFO is responsible for ensuring effective financial and budgetary controls and fiscal responsibility and accountability throughout the organization. This individual maintains a strategic perspective of the business and serves as a key resource for the management team and to facilitate company growth.
  • Prepare and analyze monthly, quarterly and annual financial statements/FOCUS reports
  • Prepare budgets by establishing schedules, collecting, analyzing and consolidating financial data, recommending plans
  • Bank reconciliations and relations
  • Comply with federal, state and local legal requirements, existing and new legislation while enforcing adherence to requirements
  • Forecasts company business activity and financial position in the areas of revenue, expenses, and earnings based on past, present, and expected operations
  • Annual audit preparation
  • Record-keeping for all corporate contracts and documents
  • Bank reconciliations and relations
  • Creates ad hoc financial reports by collecting, analyzing, and summarizing information and trends
  • A Series 27 would be a plus
  • Experience in maintaining the General Ledger; Accounts Payable and Accounts Receivable functions; and managing the Compensation process
  • The ability to self-start projects and follow through until completion
  • Bachelor's degree in accounting/finance
  • Superior time management skills and a willingness to respond quickly to ad-hoc requests
  • Knowledge of wealth management, equity markets and past experience in subject matter preferred
  • Strong computer skills, including expert proficiency in Excel and other MS Office applications
  • Minimum 4 years experience in a similar accounting role is required
  • QuickBooks experience is a plus
  • A CPA would be a plus
If interested, email  your resume as an MS Word attachment to:
Nicole Sarillo
BCI - Financial Services Recruiting

Friday, July 17, 2015

Investment Officer, OCERS - Santa Ana

Investment Officer, OCERS - Santa Ana
Under the general direction of the Chief Investment Officer (CIO), the incumbent will assist in the administration and review of investment programs of OCERS.
Provide technical assistance to the CIO, in administering the long-term investment policy, strategy, and portfolio manager oversight
Work closely with investment advisors and managers in the development and execution of investment strategies, and monitors compliance and risk associated with those activities
Review portfolios to assess where managers/asset classes took risk and what generated returns earned
Assist CIO in working with pension investment consultants to coordinate asset allocation studies and integrate results into the long-term investment strategy
Assist in the administration and review of OCERS investment program and monitor portfolios of marketable and non-marketable securities (real estate, timber, venture capital and other nontraditional investments) to assess and maintain current valuation in custodian statements
Prepare reports and presentations communicating relevant information and recommendations regarding risk exposures and performance of the fund to senior management and the Board of Retirement
Work with financial auditors, legislative and regulatory agencies to fulfill information requests
Work collegially with other investment team members in a variety of projects, research and reporting activities
Graduation from an accredited university or college with a Bachelor's Degree in Economics, Accounting, Finance, Business or a closely related field, with evidence of professional training in capital markets, investment theory, securities analysis and portfolio analytic techniques.
Three years of qualifying journey-level experience in public pension fund investment analysis and operations.
Two years of such experience with public funds and two additional years of similar experience with a similarly sized pension or endowment fund in the private or non-profit sectors or any qualifying combination of education, training and/or experience that could demonstrably provide the desired knowledge and abilities.
PLEASE NOTE: For this specific recruitment, candidates with extensive prior experience with public pension funds, portfolio risk management systems, private equity, and other alternative investments (in that order) will be given favorable consideration.
Experience Substitution Option: At least two years of proven, documented or demonstrated additional experience operating data interfaces regularly used or similar to those used by OCERS, conducting due diligence meetings, and preparing due diligence reports on institutional investment managers or investment advisors can be substituted for one year of the public pension fund experience requirement. Alternatively, a CFA charter with at least three years of prior senior-level qualifying experience with institutional asset management functions equivalent to the Investment Analyst position can be substituted for the public pension fund experience requirement.
Only online applications that include complete answers to supplemental questions will be accepted. Incomplete applications will not be considered.
You MUST apply online at the County of Orange Website:


Wednesday, July 15, 2015

Dir of Investment Operations, Oregon State Treasury - Oregon

Director of Investment Operations, Oregon State Treasury - Oregon
About the Oregon State Treasury (OST)
The OST is a highly sophisticated organization with a wide range of financial responsibilities, including managing the investment of state funds, issuing all state bonds, serving as the central bank for state agencies, and administering the Oregon 529 College Savings Network.  OST’s Investment Division, with 25 staff, is responsible for a complex $90 billion financial and real asset investment portfolio comprised of both internally and externally managed mandates.  This includes the $70B Oregon Public Employee Retirement Fund (OPERF), one of the nation’s largest and better funded public pension plans.  More comprehensive information about the OST, the Investment Division, OST-managed funds, and the Oregon Investment Council (OIC, which provides fiduciary oversight for OST’s investment management activities) can be found at
Director of Investment Operations (DIO) Responsibilities
The DIO is responsible for providing strategic direction and leadership for the Investment Operations Team and will plan and supervise the work and procedures for the Operations function.  The DIO reports to the Chief Investment Officer and initially will supervise a financial reporting manager and two accountants.  OST has received authorization to hire additional positions and will seek additional authority as the Operations function is built out.
This DIO position offers the opportunity to provide leadership and direction in the development of a strong operations function for a well-respected, successful, and growing investment organization.
·         MBA or MS in Computer Science strongly preferred.
·         Substantial experience in an operations role with a custodian bank or other investment operation that includes internal trading and transactional compliance for fixed income and public equity mandates.  Ideal experience will also include exposure to private market investment strategies.
·         Experience working as part of a senior management team and for an oversight board viewed favorably.
Compensation will consist of a competitive base salary and benefits.
For more information – or to apply please contact:
Betsy Guastello
Research Associate

Tuesday, July 7, 2015

THIS POSITION HAS BEEN FILLED - PLEASE DO NOT CONTACT: Wealth Mgt/Investment Assoc, SageView - Irvine, CA

Wealth Management/Investment Associate, SageView Advisory Group, LLC - Irvine, CA

Position Title: Wealth Management/Investment Associate
Education level: Bachelor’s Degree
Work Experience: 1 to 5 years in Financial Services

Company: SageView Advisory Group, LLC is an independent Registered Investment Advisor with over 100 employees located in 17 offices nationwide. The firm provides unbiased retirement plan and wealth management consulting services to clients throughout the U.S. We have been evaluating and advising retirement plans and participants since 1989.

Job Description: This position is part of SageView’s Wealth Management Division based in Irvine, CA.  Our Associate would be responsible for financial planning, investment management, relationship management and proactive servicing of the firm’s wealth management clients. He/She would be responsible for and assist with management of the firm’s CRM, Comprehensive Financial Planning tools, and Portfolio Management systems.  They would eventually handle the day to day investment portfolio implementation and investment management for the firm’s clients.

We do not expect you to bring a pre-existing book of business.   We are looking for someone who is client focused and personable to grow into a lead advisor role.  A candidate for this position will be successful if they can assist the senior wealth advisor with managing the wealth management clients of the firm and develop into a lead advisor role over time.   Some client facing experience is needed along with experience working in the wealth management industry.  Self management, responsibility for managing clients and making sure any servicing or investment related tasks are completed is critical. 

Responsibilities & Activities:
  • Be responsible for the firm’s CRM , Financial Planning and Portfolio Management Software programs. Be able to demonstrate the Wealth Plan software to existing and potential clients.
  • Enter client information into various CRM, Investment management and Financial Planning Software programs and generate Wealth Plans, and assist in presentation to new clients.
  • Initiate and manage client annual review process
  • Assists in client events and presentations
  • Handle total preparation for Annual client review. Review investment positions, compare to the firm’s recommended list, suggest changes to portfolio. Review client file, notes from past meetings, beneficiary forms. Meet with the client, take notes, input comments in CRM software, implement changes to their portfolio, and perform follow up.
  • Assists in research, ultimately handles day to day investment management of clients’ portfolios.
  • Participate in Research meetings – assist research team with various projects
  • Research new investment strategies  (ETF’s, alternative portfolio’s) 
  • Assist and manage investment review process
Knowledge, Skills & Abilities:
·         Previous experience working with clients (between 1 and 5 years preferred)
·         FINRA Series 7, 66, or 63/65 is required
·         Bachelor’s degree is required
·         Excellent interpersonal skills
·         Excellent attitude and an extraordinary client service orientation
·         A genuine interest in serving and caring for other people
·         Great listening skills
·         Excellent organizational and time management skills
·         Attention to detail
·         An ability to handle multiple tasks and handle changing priorities
·         Life, Disability license (desired)

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

If interested in this position, please send resume to:
Brock Becker
SageView Advisory Group, LLC
1920 Main Street, Suite 800
Irvine, CA 92614

Friday, June 26, 2015

Financial Analyst, Apriem Advisors – Irvine, CA

Financial Analyst, Apriem Advisors – Irvine, CA

Apriem Advisors, is a California corporation duly registered as an investment advisor, whose principal office is located in Irvine, CA. We are a client‐centric firm that upholds the highest degree of service, integrity and aptitude. We’ve carefully selected a team that embraces these goals and serves clients to reach their highest aspirations. Apriem Advisors has been a trusted partner for institutional and private clients since 1998. With the growth of our company, Apriem is dedicated to increase the operational and back‐office support team. One, we’re searching for a savvy, conscientious Financial Analyst. The ideal candidate must possess excellent organizational skills and be task‐oriented while working in a fast‐paced, team environment. You will be fully engaged and busy from the first day onward.

Job Summary
The Financial Analyst is a key member of the Investment Team. S/he would interact with Executives, Portfolio Managers (PMs), Wealth Managers (WMs), custodians and clients on a daily basis to ensure client portfolios are accurately maintained on the firm’s trading and operational systems. Down the road, this position could evolve to include trading client portfolios under the supervision of the PMs. At Apriem, the Financial Analyst position can be an excellent stepping‐stone towards many other career paths at the firm including Portfolio Management, Wealth Management, Compliance, and/or Operations.

Primary Responsibilities
·    Reconcile client positions and transactions daily (Tamarac Rebalancer)
·    Create, review, and revise client Investment Policy
·    Assist in creating Implementation Plans for new clients
·    Assist in the review and reporting of client accounts (daily, monthly & quarterly)
·    Generate and compile research reports for PMs to enable well‐informed and effective investment strategies
·    Compile reports for executives, WMs, and clients, as needed
·    Create Factsheets for our proprietary investment strategies (monthly & quarterly)
·    Manage client proxy voting activity (Broadridge & Egan Jones)
·    Work with the Compliance team on SEC filings such as 13F
·    Help maintain third party databases such as Portfolio Center/Citrix, Tamarac Rebalancer and Advisor View
·    Keep the firm’s website content up to date (blogs, articles)
·    Create the firm’s Newsletter (quarterly)
·    Support marketing special projects as needed

·    Bachelor’s Degree required, Financial emphasis preferred
·    1 to 3 years of experience is a plus
·    Proficiency in Excel is a must. Proficiency in Microsoft Office Programs such as Publisher & PowerPoint a plus.
Desired Qualities:
·    High integrity, ethics, and strong values
·    Ideal candidate would describe them self as detail‐oriented, meticulous, and flexible
·    Able to succeed in a deadline‐driven role in an entrepreneurial, dynamic environment
·    Excellent communication and organizational skills

Salary and Benefits
Salary will be based on skills and experience. We offer attractive, competitive compensation and benefits based on industry standards including medical, paid vacation, retirement plan, and potential for bonus participation.

Qualified and interested candidate should send a resume and cover letter in either Word or PDF format to Benjamin Lau at .  No phone calls please.

Wednesday, June 24, 2015

Public Accountants - Los Angeles, CA

Public Accountants for global asset management firm - Los Angeles, CA

Global asset management firm seeks Public Accountants to join their Corporate Accounting and Fund Accounting teams at multiple levels.

Corporate Accounting
•       Corporate Accountant – requires 1-2 years of Big 4 experience
•       Sr. Corporate Accountant – requires 3+ years Big 4 experience – Financial Reporting focus

Fund Accounting
•       Fund Accountant – requires 1-2 years of Big 4 experience
•       Sr. Fund Accountant – requires 3+ years of experience; Big 4 experience not required (could be out of a financial services or CPA firm)

Detailed job descriptions available upon request.

The roles offer a substantially better work/life balance than Big 4. The Corporate Accounting team may have one busy week every quarter (55-60 hours), otherwise 40-45/hours week. The Fund Accounting team’s average work week is around 50 hours (busy periods = 60/hour week).

Our client is looking to hire someone quickly. If you are interested in one of these openings, please promptly email an up-to-date resume as an MS Word attachment and indicate which position is of interest to:

Zach Stierhoff
BCI - Financial Services Recruiting

Monday, June 22, 2015

THIS POSITION HAS BEEN FILLED - PLEASE DO NOT CONTACT: Portfolio Administrator, Affinity – Irvine, CA

THIS POSITION HAS BEEN FILLED - PLEASE DO NOT CONTACT:  Portfolio Administrator, Affinity Investment Advisors – Irvine, CA

Affinity Investment Advisors, LLC, is an independent, registered investment advisor headquartered in Irvine, CA with offices in Connecticut and PennsylvaniaWe are a client-centric firm where integrity, transparency, and accountability are integral to the culture of partnership that guides our internal and external interactions.  Affinity has been managing active equity portfolios for institutional and private clients since 1992. 

With the launch of two new products this year, Affinity is looking to deepen the operational and back-office support team.  Specifically, we’re searching for a savvy, conscientious Portfolio Administrator to work out of our headquarters in Irvine, CA.  The ideal candidate must possess excellent organizational skills and be task-oriented while working in a fast-paced, team environment.  You will be fully engaged and busy from the first day and we guarantee there will never be a dull moment.
Job Summary
The Portfolio Administrator is a key member of the Operations team.  S/he would interact with Portfolio Managers (PMs), brokers, custodians and clients on a daily basis to ensure client portfolios are accurately maintained on the firm’s operational systems. Down the road, this position could evolve to include trading client portfolios under the supervision of the PM’s. At Affinity, the Portfolio Administrator position is an excellent stepping-stone towards many other career paths at the firm including Compliance, Performance and Portfolio Management. 

Primary Responsibilities
·         Reconciling client positions and transactions daily (Advent Axys)
·         Processing electronic trade confirmations/settlements through the Depository Trust Company (DTC/Omgeo)
·         Compile reports for executives, clients, and PMs
·         Create and review client reporting (daily, monthly & quarterly)
·         Manage client proxy voting activity (Broadridge)
·         Work with the Compliance team on SEC filings such as 13F
·         Assist in the Request For Proposals (RFPs) process
·         Help maintain third party databases such as eVestment Alliance
·         Support portfolio management and marketing special projects as needed

·         Bachelor’s Degree required, Financial emphasis preferred
·         Previous experience in  back office/portfolio administration preferred
·         Experience in a professional environment desired
·         Knowledge of Bloomberg, Advent Axys, and Omgeo OASYS & Alert is preferred
·         Proficiency in Excel required

Desired Qualities:
·         Ideal candidate would describe them self as detail-oriented and meticulous
·         Able to succeed in a deadline-driven role
·         Excellent communication and organizational skills  
·         High integrity, ethics, and strong values
·         Excels in an entrepreneurial, dynamic environment

Salary and Benefits
Salary will be based on skills and experience.   We offer attractive, competitive compensation and benefits based on industry standards including medical, paid vacation, 401(k) and potential for bonus participation. 

Qualified and interested candidate should send a resume and cover letter in either Word or PDF format to No phone calls please.

Assoc Wealth Mgr - Redwood City, CA

Associate Wealth Manager - Redwood City, CA

We are a fee-only RIA located in Redwood City, CA seeking an Associate Wealth Manager to join our growing team. We are a fast-growing, entrepreneurial firm with a passion for client service. Our work environment is warm and supportive. We believe in nurturing strong teams internally and in cultivating deep and meaningful relationships with our clients. As our new Associate Wealth Manager, you will have the opportunity to learn directly from the company’s Founder. From the beginning, you will collaborate with other team members in serving a wide variety of individuals. We envision that you will eventually lead the service team for a defined group of clients yourself.

We do not expect you to bring a pre-existing book of business. Yet we are looking for a team member who is excited at the prospect of contributing to the growth and success of our business. Your contribution can depend on your strengths and interests, but we are definitely not a “business-as-usual” firm. Are you excited by the opportunity to help cultivate new client relationships? Or would your talents be better suited to defining and driving internal initiatives aimed at service innovation or process efficiency? Whatever your strengths and passions, we will expect you to bring them to work every day.

Your personal and professional development is important to us, yet your path is not preordained. It will depend on your own priorities, on our ability to create and leverage business opportunities, and on the development of our overall team. This is an opportunity to help shape the future of our firm as well as your own career.

Position Overview
We seek an Associate Wealth Manager for our fee-only wealth management firm (RIA) located in the San Francisco Bay Area. If you are you a CFP® Certificant with several years of experience, but feel like your current situation isn’t a good cultural fit or doesn’t offer the kind of career development opportunities that you’re ready for, we would like to talk to you.

Initial Key Areas of Responsibilities:
·         Elicit and clarify client needs and goals.
·         Collaborate with client team to prepare client meeting materials, including meeting agendas and presentations. Participate in client meetings.
·         Manage meeting follow up, including coordination of internal and external resources, to ensure completion of all outstanding tasks.
·         Create and update financial plans (both cash-flow based and goal-based). Participate in the development and execution of recommended strategies.
·         Analyze and recommend solutions to specific client needs and issues, such as Social Security timing, college funding requirements, insurance needs, etc.
·         Review and analyze client tax returns and estate planning documents.
·         Managing day-to-day communications for assigned clients, including through and timely outreach and follow-up.
·         Actively participate in the firm’s business development efforts. Work to build a referral network.
·         Lead chosen firm-wide initiatives in client-acquisition, service design & delivery, or process optimization, as may be appropriate.
Key Qualifications:
·         A bachelor’s degree is required. A graduate degree is desirable, preferably in a related field such as business, accounting, economics, etc.
·         Three to five years’ client-facing experience in comprehensive personal financial planning.
·         Certified Financial Planner® designation is required.
·         A demonstrated understanding of retirement planning, estate planning, executive compensation, income taxation, company stock compensation, and risk management strategies.
·         Proficiency in widely-used software tools (both generic and financial planning specific) plus a willingness to learn to use additional tools.
·         An international background or interest is a plus.
·         Empathy and great active listening skills.
·         The ability to think clearly, communicate succinctly, and write well.
·         A strong team orientation. A willingness to help other team members grow.
·         Solid personal and professional judgment.
·         Openness to new ideas, new people, and new approaches to solving problems.
·         Drive and grit in overcoming obstacles.

·         Competitive compensation depending on experience.
·         A bonus program based on company success.
·         A 401 (k) retirement plan with matching contributions.
·         The possibility of a flexible work schedule.
·         An open – ended vacation policy.
·         A fun and friendly team of colleagues.

To apply, submit information to or