Friday, December 23, 2016

Equity Research Intern, ROTH – Newport Beach, CA

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.
• 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.

Qualifications
• 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, jclare@roth.com

Friday, December 16, 2016

Misc: Assoc, Operations, Trade, Sales - Los Angeles, CA

Miscellaneous: Assoc, Operations, Trade, Sales - Los Angeles, CA
 
Immediate hire!  Senior Client Associate, 7 & 66, Century City
Position involves extensive client contact, analytical work, plus individual will be involved in all activities that touch prospective or existing clients. Receives orders from clients in diverse products; includes mastering product-specific applications, building relationships with trading desks, ensuring completion of necessary trade documentation and timely execution reporting to clients. Serve as a liaison between the sales team, branch management, compliance and various other business units throughout the firm.  Manage account opening process for new and existing clients.  Includes collection of account-specific information, recording information via electronic account-opening system, retrieving relevant executed documentation from clients and compliance with regulatory procedures. Review client account activity on a daily basis to ensure overall accuracy, proper settlement of transactions and reconciliation of sales credits and fees. Perform account maintenance including money transfer requests, address changes, etc.  Bachelor's degree, Series 7 & 66 licenses, plus 3-5 relevant experience. Proven ability to work independently and competently handle multiple responsibilities, with a high degree of accuracy, in a high pressure environment.Highly proficient user of Word, PowerPoint and Excel.
 
Senior Operations Associate - Los Angeles
We are seeking a bright, motivated, team-oriented professional to join our operations team.  The Senior Operations Associate will work with a team in a growing investment advisory firm with multiple offices.  Responsibilities:  Wrap account administration including opening and closing accounts and processing fund flows, daily and month-end account reconciliation, proxy voting and administration, primary backup for and ongoing assistance with settlement administration and trade notifications. Requirements: Bachelor’s degree, minimum of 3-5 years of relevant financial operations experience, strong quantitative and analytical skills, excellent verbal and written communication skills, working knowledge of Salesforce and Advent products such as APX, Moxy, Geneva, Dataport and SS&C’s RECON, Advanced knowledge of Microsoft Excel and Access preferred.
 
Trade Settlements Administrator – Los Angeles
We are seeking a bright, motivated, team-oriented professional to join our operations team. The Administrator will work on a team within the operations department of a growing investment advisor.  Responsibilities include but are not limited to: trade settlements, security processing, corporate actions administration, data management. Requirements: Bachelor’s degree, minimum of 2-3 years of financial services industry experience. Experience working with a variety of asset types including equities, bonds and loans. Advanced knowledge of Microsoft Excel, Word and PowerPoint. Working knowledge of Advent APX and MOXY. Knowledge of Bloomberg and macros a plus.
 
Sales Executive – West Los Angeles
The individual will work closely with internal teams to establish new and retain client business.
This individual will require extensive knowledge of the investment business and investment strategies, and be able to address the special needs of his clients.  A demonstrated track record of success in investment sales, significant product knowledge, a solutions orientation, and a demonstrated ability to lead and/or help support  with investors; successful candidates have the following attributes:  Strong business development skills; passion to build a business and comfortable with formulating and executing a plan to grow the firm’s assets. Consultative selling/servicing approach; commitment to placing client-interests first, and finding appropriate client-specific solutions.  Collaborative/team-oriented style; ability to work productively in a team environment, build and leverage internal partnership, especially with portfolio managers, management, marketing, etc. Proven people and project management skills. Possess excellent relationship and new business development skills with a desire to consistently achieve top revenue results. Demonstrate positive initiative, leadership and comfort working in a fast paced environment. 7+years of successful sales or sales management experience with financial products.  
Proven new business development / origination experience with an established book of business. Experience in understanding the financial needs of high net worth and institutional clients. Securities sales experience requiring high levels of outside business development skills. Bachelor’s degree, Finance preferred.  MBA, CFP, PFS – preferred. Excellent sales skills and communications talent, as well as an extensive and deep knowledge of the investment management, B/D and consulting business. Confidence in discussing equity and fixed income investing with clients.  An ability to develop internal and external relationships across a wide range of professional peers.  Excellent written and verbal communication skills, particularly with regards to conveying technical investment approaches in a clear and compelling manner. Exceptional presentation skills.   Capability to communicate complex ideas and tailor communication across multiple and diverse audiences.  Strong analytical skills, performance and metrics tracking. Detail orientation with strong organizational and analytical skills. A strong sense of professional and personal integrity and high ethical standards that will be key in building successful internal and external relationships. Experience reading, analyzing, and interpreting documents/reports. Good analysis, tracking, trending, and modeling skills.
Ability to develop partnerships and collaborate with other business and functional areas.
Ability to organize and manage multiple priorities.
 
Please send resume to jobs@westcoastfinancialjobs.com
 
Please note, when an offer is extended it is pending a background check. This includes: professional references, educational verifications, salary verification, employment dates verification, credit, criminal and drug.

Tuesday, December 13, 2016

Investment Perf Analyst, Aristotle - L.A., CA

Investment Performance Analyst, Aristotle Capital Management, LLC - Los Angeles, CA

Aristotle Capital Management, LLC is an independent primarily employee-owned investment advisor with offices in Los Angeles and Orange County, California.  Our clients include institutional and high net worth individuals.  Please visit www.aristotlecap.com for more information on our firm.
 
Role
We seek an Investment Performance Analyst to join the Compliance team.  This position will be
responsible for working with the team to monitor the calculation of account and composite returns.  The role
will also include assisting with the reconciliation and resolution of performance discrepancies; analyzing and
interpreting data; identifying trends; and seeking opportunities for improvement and enhanced reporting.
The position will report to the Director of Compliance.

Principal Job Functions Include (but not limited to):
  • Analyze portfolio and composite performance on a daily basis; work with Operations team to resolve issues timely.
  • Maintain composites and all associated processes in accordance with the Global Investment Performance Standards (GIPS) and internal Policies and Procedures.
  • Manage the monthly performance validation process by reviewing and confirming security and portfolio performance.
  • Analyze error logs generated by portfolio performance systems; troubleshoot and correct performance discrepancies as needed.
  • Research and provide explanations on reconciling items and/or system issues related to performance measurement; propose improvements and solutions to prevent new issues.
  • Create ad-hoc and periodic analytical, performance and attribution reporting as requested.
  • Identify ways to improve productivity and efficiency within performance calculation and measurement process internally and document procedures.
  • Participate in the GIPS verification process.
  • Provide assistance on special projects.
 
Job Related Qualifications:
Knowledge / Skills / Abilities
  • Working knowledge of GIPS and investment performance concepts strongly preferred.
  • Experience working with security data across financial markets, including equities and fixed income.
  • Advanced problem solving skills and demonstrated ability to take initiative and critically analyze processes and procedures in a push toward constant improvement.
  • Experience with Advent portfolio accounting systems (APX and/or Geneva) preferred.
  • Strong attention to detail and organizational skills; ability to multi-task; self-motivated and team oriented professional.
  • Aptitude to learn new systems and software.

  • Strong communication skills and proficient computer skills (Microsoft Office Suite, with emphasis on Excel, Word and PowerPoint applications)
Education: Four-year Undergraduate Degree from accredited college or university.
Work Experience: Minimum two (2) years of performance measurement and reporting experience for an investment management firm.
 
Physical Hazards – Health and Safety Concerns:
Mental & Sensory Activity Required: Must be able to quickly absorb relevant knowledge as it relates to assigned projects.
Work Area Hazards & Equipment: Minimal.  Use of standard office equipment - computer, internet, printer, photocopy machine, fax machine, phone unit, etc.
 
The above description identifies the essential job functions and skills needed by the person or persons assigned to this position.  These job functions and skills are not intended to be a complete and exhaustive list of all responsibilities, duties and skills required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions.  The information contained herein is subject to change at the company's discretion.    Aristotle is an Equal Employment Opportunity Employer.

Interested applicants must provide a cover letter, resume and salary requirements to
hr@aristotlecap.com

No phone calls.  Relocation expenses not provided.
Aristotle Capital Management, LLC, Aristotle Credit Partners, LLC, and Aristotle Capital Boston, LLC are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940, as amended. Registration does not imply a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part 2, which is available upon request.
 

Friday, December 2, 2016

Investment Analyst, Whittier Trust - Costa Mesa, CA

Investment Analyst, Whittier Trust Company - Costa Mesa, 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 www.whittiertrust.com.
 
POSITION SUMMARY
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
statements
• Maintaining and tracking composite performance
• Binding presentation books for existing clients and prospects
• Ad hoc tasks for Portfolio Managers as directed
 
QUALIFICATIONS
• 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 hrdept@whittiertrust.com
 

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  

Education/Experience:
-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.

Responsibilities:
  • 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
Requirements:
  • 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.

Responsibilities: 
  • 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.
Qualifications:
  • 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 Jeff.Sudati@pimco.com
 

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 resume@advisorsolutionsgroup.com

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 https://www.wellsfargo.com/careers/.  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
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 https://www.wellsfargo.com/careers/
  • 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 https://www.wellsfargo.com/careers/
  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 @wellsfargo.com to your approved senders list will prevent further communications from going directly to your junk/spam folder.
 
Attachments:
  • 2017 Investment Management Development Program
  • Job Agent Instructions
To learn more about Wells Fargo perspectives, please visit Wells Fargo Blogs and Wells Fargo Stories.