Thursday, September 11, 2014

Sr Investment Manager, High Net Worth - San Francisco Area, CA

Senior Investment Manager, High Net Worth - San Francisco Area, CA

Our client is seeking a Senior Investment Manager in the San Francisco area.

About the Company:
For over 100 years, our client has helped generations of families build, manage, preserve and
transition their wealth.

The Role:
-This is an exceptional opportunity as a Sr. Investment Manager, High Net Worth.
-You will help manage the largest and most complex clients in the wealth management group.
-You will help establish investment policy for the wealth management team.
-There is a sales component to this role.

What we are looking for:
-5 + years experience with portfolio management for HNW (high net worth) clients
-10 + years investment management experience
-CFA/MBA preferred.
Why should you be interested?
-You will work with one of the top teams in the US in a high growth area!
-This is an underserved area with tremendous growth opportunity.
-Very competitive compensation.

For more information contact: Nancy Wirth at 612.928.5406

Financial Planning Associate - Walnut Creek, CA

Financial Planning Associate

We seek a Financial Planning Associate for our fee-only wealth management firm's Walnut Creek,
CA office. We are very interested in candidates pursuing the CFP® certification and those who want
to provide holistic wealth management services to high net worth clientele (avg. 5-10MM). Candidates that fit into our firm and culture will desire to be in an independent RIA firm environment acting in a fiduciary capacity, that embraces technology, believe in passive investing, and working in a collaborative environment.

Position Overview
This is a professional position that will primarily support the Walnut Creek office location (there may be minimal travel to the SF and Palo Alto offices from time to time as well) advisory team directly in managing existing and new client relationships. You will be expected to assist in various projects including portfolio reviews and preparing financial projections using Excel spreadsheets and Money Guide Pro financial planning software. A working knowledge of portfolio allocation, investment management and general financial planning is expected. The team lead is available to provide mentoring and big picture direction, but you must have the ability to utilize critical thinking skills, work independently and anticipate firm needs and client questions. The firm is expecting the new hire to start in the Financial Planning Associate role and progress to an Associate Wealth Advisor position within several years.

Initial Key Areas of Responsibility:
• Assist wealth advisors in preparing analyses for client meetings and completing ad-hoc firm projects
• Assist wealth advisors with prospective clients by gathering data, reviewing portfolios, creating financial plans, identifying advanced planning opportunities and creating wealth management plans.
• Work with Money Guide Pro FP, Orion PMS, Schwab and TD Ameritrade Institutional custodial
platforms and Salesforce CRM

Potential Future Key Areas of Responsibility:
• Assist with trading and rebalancing of client investment accounts
• Deliver multidisciplinary financial planning advice for high net-worth clientele
• Develop and manage on-going client relationships
• Delegate appropriate tasks to supporting team members
• Provide input on strategic plan and direction of the firm

Key Qualifications:
• Organized, with a strong attention to detail
• B.A. or B.S. degree preferably in Financial Planning, Finance, Accounting or Economics
• Strong financial and analytical skills
• Strong persuasive and interpersonal skills
• Ability to identify, meet and follow through with client needs and requirements
• Must be a self-starter, problem solver and a goal-oriented team player with a ‘no job is beneath me’
• Able to work independently and keep team lead aware of progress and hurdles
• Show curiosity and confidence when dealing with clients and advisory team

• Competitive salary with performance--based pay program
• 401k with company matching contribution
• Group Health, Life, Disability, Vision and Dental insurance
• Mentorship and Learning Opportunities
• Gym membership reimbursement

To apply for this position please submit information to Caleb Brown

Investment Analyst, 401K Advisors - Aliso Viejo, CA

Investment Analyst, 401K Advisors - Aliso Viejo, CA
A national retirement plan consulting firm based in Orange County, California, seeks qualified candidates for its Investment Research team to participate in the investment due diligence process, conduct investment due diligence activities and research money managers in order to assist the firm's Plan Consultants/Advisors and Plan Sponsor clients.  Candidate would participate in the recommendation of hiring, terminating or "watch-listing" money managers based on the information gathered throughout the investment due diligence process and also assist with other related duties including system reporting, fund fact sheets, investment policy statements, investment related research reports, asset allocation modeling and other various ad-hoc investment reporting.
Interested candidate must have strong interpersonal and communication skills due to the high level of involvement with investment managers and clients.  Position requires a bachelor's degree.  A CFA level II candidate is preferred.  Familiarity with MPI Stylus, Zephyr, and Morningstar is a plus.  Some travel is required.
If interested, please send cover letter and resume to

Friday, August 29, 2014

Wealth Planning Analyst - San Luis Obispo

Wealth Planning Analyst - San Luis Obispo, CA
We seek a Wealth Planning Analyst for a 12-person wealth management firm located in San Luis Obispo on the beautiful Central Coast of California. This is a professional position that will initially directly support the firm’s Wealth Advisors in servicing existing and new client relationships. We are looking for people who have the capability to become – in time and with the proper training and preparation -- a client-facing Wealth Advisor.
An ideal candidate will want:
Ø    to belong to an independent, fee-only RIA firm acting in a fiduciary capacity to its clients;
Ø    to collaborate with, learn from, and contribute to a team of experienced professionals;
Ø    to embrace both high tech and high touch as being equally necessary to success;
Ø    to be involved in all aspects of the business, learning the way we care for our clients;
Ø    to be an active, service-oriented, involved member of their community;
Ø    to pursue excellence within his/her sphere of influence;
Ø    to work up our advisory career ladder to become a lead Wealth Advisor.
An ideal candidate must possess:
Ø    A Bachelors degree preferably from a CFP Board Registered Financial Planning Program;
Ø    A passing score on the CFP® certification examination within 18 months of hire;
Ø    An above average knowledge of broad financial planning and investment concepts;
Ø    A passion for helping people through the financial planning process;
Ø    Robust analytical skills, both in identifying problem issues and in evaluating solutions;
Ø    Excellent communication skills, both verbal and written;
Ø    A genuine, self-assured personal interactive manner that elicits sharing and trust;
Ø    The ability to work independently, seeking guidance as needed without distress;
Ø    A self-starter, can-do, roll-up-your-sleeves, no-job-is-beneath-me attitude.
Initial Key Areas of Responsibility:
Ø    Assist advisors in preparing for, conducting, and following up client meetings with attention to detail and accuracy, including data gathering; preparing meeting agendas, financial statements, goal sheets, Investment Policy Statements, etc.; taking meeting notes; writing follow-up letters utilizing templates and according to prescribed timelines; coordinating planning implementation with both clients and outside professionals as necessary; performing financial (tax, retirement, etc.) analyses as needed.
Ø    Contacting, responding to, meeting with, and following up with planning clients as needed in person, by phone, or by email according to prescribed firm processes.
Ø    Learning all planning, investment, and tax software programs.
Ø    Learning all applicable firm processes, protocols, and reporting.
Ø    Participating in research, planning meetings, webinars, etc. to enhance knowledge.
Salary and Benefits are competitive based on industry standards and experience
Benefits include:
Ø    Company-wide bonus plan based on firm profitability.
Ø    401(k) with match, subsidized health/dental/vision insurance, paid holidays, vacation, sick leave.
Ø    Partial and/or full financial support for professional accreditation and/or continuing education requirements and other education/training opportunities.
To apply for this position please submit information to Adam Ley, CFP®

Wednesday, August 20, 2014

Dir Financial Planning, Carrington - Santa Ana

Director Financial Planning, Carrington - Santa Ana

Assist in FP&A activities including budgeting, forecasting, monthly analysis and management reporting. Perform all duties in accordance with the company’s policies and procedures, all US state and federal laws and regulations, wherein the company operates.

• Develop and enhances consolidated company profitability reports that capture the key economic activities.
• Responsible for coordinating with Divisional Finance Officers the relevant data capture for consolidating reporting / planning activities
• Develop ad hoc financial analysis in support of key business decisions.
• Reconcile key forecast variances from actual information in the general ledger and key business systems.
• Manage functional (cost center) roll ups, related maintenance and organization structures.
• Maintain accurate Key Operating Metrics and Statistics in support of financial reporting.
• Assemble and organize relevant performance data from various data sources.
• Work cooperatively with existing IT analytics resources, systems and related analysts.
• Perform ad hoc projects.
• Perform other duties as assigned.

• Prior working knowledge of EssBase a plus
• Strong verbal and written communication skills
• Advanced MS Excel and financial modeling skills
• Working knowledge of loan servicing operations is helpful
• Ability to compile, analyze, and forecast three-part financial statements
• Strong ability to perform multiple tasks and meet critical deadlines while maintaining accuracy and quality
• Ability to understand complex problems and to collaborate and explore alternative solutions
• Ability to compute, analyze, and interpret complex statistical data and/or to develop forecasts and computer models
• Ability to make informal presentations, within the organization; speaking before groups

• B.S. or equivalent degree in Business
• Experience with business intelligence systems along with organizing raw data
• Five (5) or more years of relevant FP&A experience

• An innovative environment
• Creative programs unique to the real estate industry
• Management growth potential
• Training with one of the top 100 Learning Organizations in the World
• Superior benefits package
• An environment that encourages growth and development of its employees

Carrington Mortgage Holdings and the Carrington Family of Companies have evolved into a group of vertically integrated  operating businesses that direct every aspect of the life cycle of single family assets. Its core capabilities include investment and fund management, residential mortgage special servicing and origination, property management and maintenance, and real estate sales and settlement services. With more than three decades of experience and guided by a consistent philosophy, Carrington has built the infrastructure necessary to maximize value during any market cycle.

If interested in the opportunity, please contact Annie Boneta at or 949.517.7312

Monday, August 18, 2014

Research Analyst, Business Valuation, FMV - Irvine, CA

Research Analyst, Business Valuation, FMV - Irvine, CA
The Company
FMV is one of the nation’s preeminent firms offering a broad range of financial advisory services to private and public companies, and their advisors. For more than two decades, the firm has served its clients by providing intricate and highly specialized financial opinions, property appraisals, complex litigation support, and tax and business valuations.
The Opportunity
The Research Analyst is involved in all facets of FMV’s valuation activities, participating as a member of a team. The Research Analyst will work directly with vice presidents, managers, and associates continually gaining broad-based experience in financial analysis, company and industry research, modeling, and valuation of companies, equity securities, derivatives, and debt instruments. The Research Analyst will also gain a broad-based exposure to a variety of industries. Primary responsibilities will include financial modeling and company and industry research.This is a full time position in the Irvine, CA office. Benefit package includes medical, dental, vision, FSA, life, disability, long-term care, 401(k), vacation, sick leave and eleven holidays. Compensation is commensurate with background and qualifications.
The Requirements
Relevant qualifications include: exemplary performance in obtaining an undergraduate degree at a top tier university with coursework in business administration, economics, finance and accounting. The candidate must possess strong oral and written communications skills, attention to detail and an ability to balance multiple tasks and projects. Proficiency with MS Word and Excel is required. Proficiency with MS Word and Excel is required. CapIQ experience is a plus.
Please e-mail resume along with cover letter to Janice Haley, HR Specialist at

Portfolio Compliance Analyst, PIMCO - Newport Beach

Portfolio Compliance Analyst, PIMCO - Newport Beach

Position Description
A Portfolio Compliance Analyst is responsible for auditing client accounts to ensure compliance with applicable rules. Responsibilities include analysis of transactions and portfolio holdings with respect to mutual fund regulatory requirements and prospectus guidelines. Analyst researches compliance issues and participates in various ad hoc projects involving frequent interaction with clients, as well as Account and Portfolio Management. Analyst is also involved with process improvements, scenario analysis, and technology testing. Routine compliance analysis and client reporting is performed (daily/weekly/monthly/quarterly).

The position is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will be expected to learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations.

Position Requirements
• An undergraduate degree in Business, Finance, Economics, or Accounting is required for this role.
• Two+ years of compliance experience, preferably with auditing mutual funds subject to the Investment Company Act of 1940 is desired.
• Financial product knowledge, including fixed income, equity, ETFs, and derivatives is essential.
• Strong analytical skills, problem solving ability, and attention to detail.
• Effective verbal and written communication skills.
• Ability to work independently and in a team environment.  
• Capable of managing multiple tasks with tight deadlines.
• Strong MS Excel skills (formulas and functions) and technical aptitude (Macros/Visual Basic).
• Experience with Bloomberg and Business Objects, a plus.  
• CFA designation or active status in the CFA program is a plus.
• Score of 90% or better on the Compliance Assessment and MS Excel test.

• Have a strong sense of honesty and integrity.
• Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to unique situations.
• Flourish in a challenging, fast-paced, professional environment with the ability to shift priorities as business needs dictate and operate with a sense of urgency.
• Maintain a strong commitment to quality and ensure that the work product is delivered complete, accurate, and on time.
• Desire to take initiative and contribute to the department and the organization, promoting a positive attitude and displaying a sense of teamwork.

PIMCO is an equal opportunity employer.

We are an Equal Opportunity Employer and do not discriminate against applicants due to race, ethnicity, gender, veteran status, or on the basis of disability or any other federal, state or local protected class.
Please apply at:

Wednesday, August 13, 2014

Asset Information Analyst, PIMCO - Newport Beach

Asset Information Analyst, PIMCO - Newport Beach
Position Description
The Asset Information team is responsible for establishing and maintaining PIMCO’s proprietary reference data warehouse. The team utilizes a variety of vendors and sources including Bloomberg, Markit, MSCI and Reuters as well as offering documents to ensure the accurate population of security and issuer level data. The Asset Information team’s other core responsibilities include answering complex product related inquiries, performing data integrity analysis, ad hoc research projects and working with development teams to further expand and enhance our proprietary systems.
In this position, the Asset Information Analyst will focus on creating new security masters while assisting the team on projects and inquiries. The Asset Information team has exposure to all the products that PIMCO trades so candidates will need to learn the mechanics of the instruments, how the data is stored throughout our internal systems and how end users are consuming the information. The position requires frequent interaction with teams throughout the organization including Legal, Compliance, Technology, Analytics, Risk, Account and Portfolio Management. A strong technical background is required along with a solid understanding of the financial markets.
Core Responsibilities
-Create and maintain security master information
-Monitor daily quality assurance checks
-Reference data analysis and ad hoc projects
-Answer data related inquiries for various departments throughout the organization
-Submit system enhancements and work with technology teams to implement
Position Requirements
-Bachelors degree - preferably in economics or finance
-MBA, CFA, or active status in either program is a plus
-Previous reference data experience and knowledge of the financial markets
-Consistently produce accurate, high quality results with a strong attention to detail
-Ability to meet tight deadlines while managing several projects simultaneously
-Excellent communication skills and the ability to work well in a team environment
-Strong technology skills, including proficiency in MS Excel and SQL
PIMCO is an equal opportunity employer.
We are an Equal Opportunity Employer and do not discriminate against applicants due to race, ethnicity, gender, veteran status, or on the basis of disability or any other federal, state or local protected class.
Please apply at:  
(search by Job ID: 14284)

Tuesday, August 12, 2014

Financial Analyst, FFG Valuations - Costa Mesa, CA

Financial Analyst, FFG Valuations - Costa Mesa, CA

• Financial Statement Analysis
• Building detailed financial valuation models including discounted cash flow analysis
• Performing industry research including market research and competitive analysis
• Report writing including the preparation of tables, exhibits, and charts

• A Bachelor's degree from an accredited college or university in Finance, Economics, Business
Administration or a related field
• Strong quantitative, communication and interpersonal skills
• Ability to prioritize and manage multiple responsibilities under pressure

• Demonstrated experience in company valuations
• In pursuit of CFA designation

FFG Valuations is a leading valuation firm, providing professional valuation advisory and financial reporting services to small and mid-market companies. Our areas of expertise include fractional discounts applicable to closely-held entities, valuation of businesses and underlying financial securities including intangible assets, shareholder disputes, and sale of businesses. Our goal is to continue building a collaborative team with joint success.

If interested, please send resume to

Investment Risk Mgt Consultant, PacLife - Newport Beach

Investment Risk Management Consultant, PacLife - Newport Beach

Pacific Life Fund Advisors ("PLFA") serves as the advisor to more than $50 billion of assets under management. The Investment Risk Management (IRM) team within PLFA is responsible for risk analytics, risk monitoring, and portfolio construction for the multi-asset portfolios. The Investment Risk Management Consultant will report to the Director of Investment Risk Management to provide support primarily to Pacific Life Fund Advisors (PLFA), the Fund Boards, and the variable insurance and mutual divisions within Pacific Life.

 The IRM Consultant will play an integral role in executing the performance evaluation and portfolio construction process of existing asset allocation strategies, as well as evolving the analytics infrastructure. This position will be relied upon to create portfolio optimization, performance attribution, risk models, and back-tests to support the management and evaluation of the asset allocation portfolios. Strong working knowledge in financial markets and quantitative analysis are crucial to the success of this role, as it will require the IRM consultant to either build the analytics and solutions from the ground up or enhance them through leveraging existing investment tools.
On a quarterly basis, the IRM Consultant will be responsible for Fund Board reporting relating to the performance and fees of our existing portfolios and mangers. Coordination skills and attention to detail are imperative as the Board of Trustees and Senior Management rely upon the reports for the evaluation and oversight of our portfolios. Supporting the transition management during rebalances and the variable annuity hedging functions may also be required.

• Lead the quarterly Fund Board reporting process:
o Coordinate with the asset allocation and manager research teams to prioritize the timeline; work with performance analysts to ensure accuracy of the performance and risk reports; propose and implement enhancements to the reports and the process
o Work with outside consultants retained by the Fund Boards for the 15-C process to evaluate the fees, performance, and competitiveness of PLFA's investment strategies.
• Support and enhance PLFA's existing performance and risk evaluation capabilities, which is an essential part of PLFA's investment decision process for the asset allocation strategies.
o Create and run asset-class based and risk-factor based performance attribution and risk decomposition to assess the sources of performance and risk.
o Utilize external investment software as well as build proprietary models that are necessary to deliver this information.
• Contribute in a meaningful way to the portfolio construction process of PLFA's asset allocation strategies
o Execute the portfolio optimizations for the periodic rebalances
o Help evolution the portfolio construction process by researching and implementing additional portfolio construction techniques, which will involve back-testing, regime analyses, stress testing, and other analyses as needed
• Promptly address data requests from legal, compliance, senior management, and support the manager research team.
• Become the point person with data and software vendors, evaluate existing and new tools, and be responsible for any data onboarding and transition

FACTORS FOR SUCCESS:Bachelor's degree in finance, economics, mathematics, engineering or other quantitative related sciences; CFA (or progress towards the designation) preferred
Minimum of 5 years of experience in finance, investment management, investment consulting, or other quantitative fields with a solid foundation in complex financial concepts; experience in multi-asset investing and familiarity of various portfolio construction approaches preferred.
Strong Excel and analytical skills; prior experience in or ability to rapidly learn analytical tools including Barra, Bloomberg, FactSet, MorningStar, and Zephyr; programming experience in Excel VBA, MatLab or S-Plus/R preferred
Must be a self-starter with strong communication skills, attention to detail, accountability, and ability to work well both independently and with various teams

WHERE YOUR POTENTIAL MEETS OUR PURPOSE:At Pacific Life, you are given the opportunities and challenges to embrace your potential and achieve your personal best, every day. What you find here is something special - it's purposeful work done with a shared set of values that brings us all together.

Pacific Life offers life insurance, annuities, and mutual funds, along with a variety of investment products and services, all of which provide The Power to Help You Succeed. Headquartered in Newport Beach, CA, Pacific Life is a Fortune 500 company with approximately 2800 employees. We pride ourselves in providing a work environment that is challenging, inclusive, collaborative and results-oriented. We firmly believe each employee plays a part in our continued growth and success.

Currently, we seek a talented Investment Risk Management Consultant to join the Corporate Division in Newport Beach. The Corporate Division supports the goals and initiatives of all other divisions throughout the company and its subsidiaries. 

Join the Pacific Life team and watch your career grow! We offer a competitive compensation and benefits package that includes:

• Competitive salary and bonus program
• Medical, dental, and vision as part our commitment in investing in the health and wellbeing of our employees
• Two retirement savings plans: 401k savings plan with company match and Company Retirement Contribution (company-paid)
• Generous vacation time and holiday pay
• And much more!

*Pacific Life Insurance Company is an Equal Opportunity /Affirmative Action Employer, M/F/D/V

*If you are a qualified individual with a disability or a disabled veteran, you have the right to request an accommodation if you are unable or limited in your ability to use or access our career center as a result of your disability. To request an accommodation, contact a Human Resources Representative at Pacific Life Insurance Company.

To Apply:

Monday, August 11, 2014

FINOP specialist - Newport Beach

Financial Operations Specialist - Newport Beach

Exciting Start Up Niche Micro-Investment Investment Firm seeks a full time FINOP to join their team.
  • Take a 360 degree hands-on approach to entire financial operations of our broker / dealer
  • Individual will liaise directly with the CFO of the B/D and the CCO to and settle all trading activities, exception reports and reconcile against general ledger on a daily, weekly, monthly, quarterly and annual basis.
  • Report overall financial condition of the B/D to Senior Members: CEO, CFO and COO
  • Be involved in all aspects of finance, accounting and operations functions of broker dealer
  • Reconcile all accounts including banking / clearing / accounts payable
  • Prepare and file quarterly FOCUS reports to FINRA
  • Follow all rules, filings and extensions pertaining to SEC 153c-3
  • Serve as audit contact for the firm for financial / regulatory audits
  • Tax planning and compliance for all entities, working with external vendors
  • Responsible for month end financial accounts using QuickBooks
  • Responsible for the production of management accounts with commentary for all entities
  • Production and control of Budgets
  • Prepare monthly management accounts and annual financial statements
  • Oversee day to day operations of trades and immediately resolve all trade exceptions from our OMNIBUS custodian account to clients’ accounts and reconcile and update QuickBooks accounting  records
  • Series 27 required; Series 7 a plus
  • Bachelor Degree  Business
  • Experience: 5 -10 years of work experience comprising both of brokerage financial operations & trading and accounting and reconciliation
  • CPA a plus
  • Big 4 accounting background a plus
  • Clean U-4/U-5
Personal Attributes:
  • Deadline Driven
  • Hands on with day to day of minutia of trading, ops, exception reports, financial reporting, etc.
  • A Forward Thinker
  • High attention to detail
  • Handle extreme pressure
  • Takes Self Initiative
We are a financial services recruitment and staffing firm. For more information visit:
If interested in the position, please email resume to Christina, at

Friday, August 8, 2014

Senior Wealth Strategist - Los Angeles

Senior Wealth Strategist - Los Angeles

RMG Associates is a national executive search firm specializing in family wealth management. Our client is a major financial institution that is among the most reputable and established firms in the wealth management industry. They are seeking a Senior Wealth Strategist (WS) to be based in their Los Angeles office.

The WS will focus on new HNW/UHNW client business development for this premier wealth management firm that specializes in offering clients insightful perspectives and creative thinking in managing and sustaining their wealth. He or she will actively source prospective new clients and work in a collaborative team environment with the objective of successfully gaining the prospect as a client.

Excellent broad-based wealth management and interpersonal skills are necessary to be successful in this role as well as a proven record of successful client engagement. Qualified candidates must understand the nuances of working with HNW/UHNW clients and how to present a holistic wealth management platform. He or she should be well connected with centers-of-influence and be an active voice in the industry and in the community.
The resources, platform, brand name, and capabilities of this top 10 US-based financial institution are impeccable. Wealth Strategists who possess the work ethic and savvy to succeed in this role are highly rewarded financially, and thrive within this firm.

Selected duties and responsibilities include among others:
Sell investment, trust, banking and advisory services to high net worth individuals and families.
 Seek prospects through personal COIs; present proprietary wealth management and associated services and follow through to complete sales process, often in partnership with relationship managers.
 Partner with relationships managers, leadership, and other wealth strategists to successfully integrate into a strong collaborative culture based on shared successes.
 Selectively maintain ongoing connection with clients and promote relationship enhancement opportunities through relationship managers.
 Utilize an understanding of federal, state, and local laws and regulations to ensure that financial planning activities are in compliance.
 Research prospects' financial pictures and possible needs to determine how to best provide service.
 Consults with clients and their attorneys on the benefits of estate planning products/services.
 Participate in related seminars/presentations and product knowledge training for partners.
Experience7+ years of financial services/wealth management sales experience required.
 Series 7, 65
 Certifications a plus, CFP®, CPWA, etc.

For confidential consideration, please send a resume to Jeannie Hwang at Candidates who meet the above criteria may call Buzz Bray at 206-402-3401.

Managing Director of Investments - San Diego

Managing Director of Investments - San Diego

RMG Associates is a national recruiting firm specializing in private family wealth management. Our client is seeking a Managing Director of Investments (MDI) for their ultra-high-net-worth (UHNW) office in San Diego, CA. This division, within a prominent financial institution, exclusively services UHNW clients with net worth in excess of $50MM, with average client relationship over $100MM. Our client will consider relocation benefits for exceptional candidates for this opportunity.

The MDI will be part of a dynamic team and participate in the building of a state-of-the-industry platform that implements, monitors, and maintains investment portfolios for a select group of UHNW family clients. The ability to work effectively within a team of investment professionals to develop and deliver solutions for UHNW clients is a must. This group has had phenomenal success in growing their client base and this position is open due to growth. The leadership, strategy, vision, and commitment from the institution makes this a rare career opportunity for a talented and qualified candidate to make an impact, and contribute to the continuing development of this division to national prominence and market leadership.

The MDI must have experience with ultra-affluent clients or with institutions (preferably foundations or endowments) in an investment management or investment advisory capacity. He or she should have a CFA or similar credentials. This role is highly consultative in an open-architecture investment environment and knowledge in alternatives is greatly preferred. Additional responsibilities will include establishing family investment policies and philosophies. Therefore, it is crucial that the MDI has a background as a consultative investment advisor with an understanding of UHNW or institutional client relationships.

The resources and capability of this group is exceptional and highly sophisticated; and they are building an impeccable national reputation for innovation and industry thought leadership. The investment management group is part of a comprehensive, holistic, and customized UHNW model/platform, which includes: multigenerational planning, psychologists and educators, trust and tax expertise, governance, philanthropy, financial management, and technology and reporting. The MDI will work closely with a multidisciplinary team of advisors and must be able to work and thrive within a collaborative, collegial environment among highly educated peers who are top professionals in their fields.
Experience and Requirements:
  • Senior/Managing Director candidates with 10+ years of experience in a consultative investment role delivering advice to ultra-affluent clients, business leaders and/or large institutional investors.
  •  Bachelor’s degree required as well as an advanced degree or certification related to investment advisory (MBA, CFA, CAIA, etc.)
  •  Ability to thrive in a collaborative client-focused environment and to serve clients with confidence and unpretentiousness.
  •  Experience in managing relationships in a team environment with sophisticated and demanding individuals and/or fiduciaries with complex needs
  •  Demonstrated experience in developing and contributing to business development
  •  Experience in endowments and/or foundations highly desirable
For confidential consideration please forward your resume to Candidates who meet the above criteria may call Buzz Bray for a confidential discussion at 206-402-3401.  

Wednesday, July 30, 2014

Senior Level Commercial Lender - Austin, TX

Senior Level Commercial Lender - Austin, TX

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

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

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

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

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

Wednesday, July 23, 2014

Quantitative Analyst - Chicago

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

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

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

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

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

Friday, July 18, 2014

Manager - Public Markets, Caltech - Pasadena

Manager - Public Markets, Caltech - Pasadena

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

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

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

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

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

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

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

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

Please, only apply if you meet all the Basic Qualifications

To apply: