Tuesday, February 9, 2016

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.

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

Tuesday, January 26, 2016

Director - U.S. Issuer Marketing - New York, NY

Director - Issuer Marketing within U.S. Corporate Business & Relations - New York, NY

TITLE: Director - Issuer Marketing within U.S. Corporate Business & Relations (133-23)
COMPENSATION: Commensurate with experience
  • Create/coordinate/implement outreach to key new client targets
  • Research marketing angles/areas where firm can differentiate itself from competition
  • Communicate/present findings to co-workers for discussion
  • Maintain awareness of market conditions/trends/developments in corporate debt markets and how they may impact rating agencies and firms’ new business initiatives
  • Take lead on preparation of client presentations/market analyses/post-meeting follow-ups/data gathering for near-term and longer-term initiatives
  • Develop marketing case studies/presentation slides dedicated to a specific sector or vertical for an upcoming or prospective meeting
  • Minimum of 5 years’ experience in Debt Capital Markets, Corporate Finance, M&A, Advisory type functions
  • Some Client Coverage or Account Management experience preferred
  • Bachelor’s degree required; MBA / CFA and other Advanced Degrees a plus
  • Understanding/experience with large and/or middle-market corporate debt deal processes, key parties, roles and motivations of important constituents (i.e. bankers, issuers, investors, financial sponsors)
  • Ability to gather intelligence from public sources, piece together information, draw clear/concise conclusions that result in a strategy or recommendation for pursuing new business opportunity
  • Understanding/proficiency of analytical credit concepts; capability to translate those into marketing messages for external audiences
  • Skills in time/organizational management across range of projects; ability to prioritize/re-prioritize accordingly
  • Independent, self-starter mind-set; willing to think creatively and pursue projects without constant oversight
  • Strong communication skills, attention to detail in preparing external presentations and performing market research
  • Proficiency with MS Word/PowerPoint/Excel
  • Travel within the continental U.S., amount dependent on business need
  • Knowledge of Bloomberg, Thomson Reuters or other fixed income data/information service provider sources
If interested, email your resume to Marci Tsiribas, BCI - Financial Services Recruiting

Equity Research Analyst - Newport Beach

Equity Research Analyst - Newport Beach

Position: West coast Broker/Dealer seeks Equity Research Analyst to cover Clean Tech energy companies

·         Establish/maintain research coverage of 15 companies in the Clean Tech industry
·         Financial modeling to project earnings and cash flows.
·         Make stock calls based on fundamental valuation of corporate and company assets, earnings and cash flow multiples and peer group valuation.
·         Write research reports to present investment analysis and support stock recommendation.
·         Participate in company sponsored investor calls and attend industry conferences.
·         Ideal candidate will have 2-4 years of experience covering the clean tech energy sector.
·         Series 7, 63, 86 and 87 brokerage licenses.
·         Bachelor degree in finance, economics or engineering.  CFA a plus.
·         Excellent writing and verbal communication skills.
·         Strong financial modeling and valuation skills

To apply: Send resume and appropriate info to ccave@europac.net

Thursday, December 31, 2015

Sr Investment Consultant(s), Vanguard - Scottsdale, AZ & Valley Forge, PA

Senior Investment Consultant(s), Vanguard - Scottsdale, AZ and Valley Forge, PA

Vanguard, one of the world's largest investment management companies and a recognized employer of choice is seeking two Senior Investment Consultants, one in Scottsdale, AZ location and the other in Valley Forge, PA location for their Vanguard Institutional Advisory Services (VIAS) group. VIAS, housed in the Institutional Investor Group, offers asset allocation, portfolio construction and investment analysis to a broad set of institutional investors, including endowments, foundations, private and public pensions.
Combining consultative client service with portfolio design and implementation, Senior Investment Consultants seek to solve a wide range of investment challenges by taking a holistic approach through discretionary portfolio management.

Primary duties and responsibilities:

·         Serves as the senior investment consultant for current and prospective defined benefit, endowment and foundation clients representing VIAS investment and advisory capabilities to key decision makers, investment committees, and board members.
·         Consult with existing clients in the development or adaptation of investment policy statements. Provides discretionary portfolio management and non-discretionary investment consulting to assigned client base. Works closely with Institutional Sales to represent VIAS to prospective clients.
·         Consult on topics such as liability driven investing, total return, risk management, portfolio optimization, and implementation considerations
·         Conducts investment reviews for the client (i.e. market, portfolio, and fund performance, portfolio construction, and asset allocation) and conducts subsequent meetings with the client's investment committees and Boards.
·         Represents Vanguard at industry conferences and events and at Vanguard client symposiums by speaking on a broad range of investment topics of interest to Institutional investment professionals.
·         Keeps abreast of investment process and performance of existing Vanguard funds as well as market conditions and developments. Responds to investment-related questions from existing and prospective VIAS clients. Acts as a VIAS investment team liaison to senior management and other areas of Vanguard. Writes executive summaries for quarterly client reports, commenting on portfolio and fund level performance.
·         Represents VIAS and the Institutional client viewpoint in the development and enhancement of Vanguard's advisory methodology. Collaborates with colleagues in Investment Counseling & Research on investment philosophy and portfolio strategies.
·         Serves as a leader, mentor, role model, and technical resource to VIAS Investment Analysts.
Desired Qualifications:
·         Undergraduate degree in finance-related field or equivalent combination of training and experience. Postgraduate degree of MBA and/or CFA accreditation.
·         Minimum ten years work experience including five years in an investment analyst/consultant/counselor position.
·         Series 63, 65 and 7 are required or able to obtain in 90 days.
·         CFA required.
·         Superior technical skills related to investment analysis preferred.
·         Experience with endowments, foundation and defined benefit plans required.
·         Excellent written and oral communication skills, including strong presentation skills required.
·         Proven experience with external clients and the ability to communicate effectively with a wide range of audiences.
·         Superior desktop computing skills including spreadsheet capabilities, database knowledge, and other analytical applications preferred.
Note: Only U.S. citizens, lawful permanent residents, or others with the permanent right to work in the United States will be considered for this position. Employment is also contingent on a successful drug-screening result and successful passing of the required FINRA licenses.
Please apply to http://www.vanguardjobs.com/  requisition 102943

Equity Research (intern/possible full-time), ROTH - Newport Beach

Equity Research (Intern), ROTH Capital Partners - Newport Beach
(with the potential to convert into a full time Associate position in equity research)

ROTH Capital Partners
Equity Research – Intern
Sector: Industrials

This internship at ROTH Capital Partners provides candidates the opportunity to gain experience in sell-side equity research. Our team covers the Industrials sectors. Verticals include automotive OEM suppliers as well as aftermarket parts providers, electrical grid infrastructure and power generation equipment, among others. We are looking for an intern to start immediately with the potential to convert into a full time Associate position in equity research.

Application Requirements
·         We are looking for a current student or recent graduate to serve as an intern on an ongoing basis.
·         The position will be paid at minimum wage.
·         Commitment in terms of hours will vary depending on course load.
·         US citizen preferred; non-US citizen considered. 

Job Description
·         The objective of the internship: We hope to provide the intern with relevant real-world experience, a transferrable skill set, and practical knowledge to help the recent graduate secure an appealing and rewarding full time opportunity.
·         Maintain market intelligence system and provide ongoing monitoring of the Industrials industry.
·         Examine market data to identify and analyze current and industry trends and provide ongoing findings.
·         Conduct primary research, surveys, and interviews.
·         Develop financial models and conduct financial statement analysis to evaluate historical information and generate earnings forecasts. 

·         Current student or recent graduate.
·         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 within a small team environment.
To apply: Send a resume and cover letter directly to Matt Koranda, Senior Research Analyst, at mkoranda@roth.com

Wednesday, December 30, 2015

Business Analyst, Slalom Consulting - OC / SD

Business Analyst, Slalom Consulting - Orange County / San Diego
Slalom Consulting seeks a talented, experienced Business Analyst. Working independently under limited supervision, the individual in this role will plan, design, develop, and analyze business plans for complex problems. The primary responsibilities of this role include gathering and coordinating project impact assessments from various groups within a client’s organization; working with stakeholders to understand their business requirements and define project scope; and helping program managers define requirements and successfully track projects throughout their respective lifecycles.

  • Demonstrate a logical, rigorous, and analytical problem-solving approach, leading requirements gathering sessions and preparing and delivering client presentations and work products/prototypes
  • Manage release schedules, prioritize projects, and ensure adequate resources are available
  • Attend and lead meetings; provide project status reporting to management; assist with testing scenarios; and validate results
  • Conduct and document complex business analysis projects
  • Perform technical analysis to determine present and future business performance
  • Provide functional advice or training to less-senior business analysts
  • Occasionally lead direct or indirect employees for specific projects or objectives
  • Create and execute system test plans
  • 3 or more years of business or functional analyst experience in a consulting environment
  • Bachelor’s degree
  • Skilled at analyzing complex issues and distilling concepts to clients
  • Able to proactively identify risks, and drive action to mitigate and resolve issues
  • Strong analytical and interpersonal communication skills, with the ability to work independently
  • Strong organizational skills and the ability to manage a vast array of information
  • Broad understanding of the role of data management, information flow, and data governance issues
  • Experience with market data and vendor integration and management
  • Able to serve as a liaison between both business and technical teams to drive effective, timely solutions that fulfill both strategic and operational needs
  • Skilled at defining and documenting business processes and requirements for ongoing system enhancement initiatives
To apply: https://www.slalom.com/job-opportunity-orange-county-business-analyst

Tuesday, December 22, 2015

Assoc Wealth Adv, First Foundation - Irvine, CA

Associate Wealth Advisor, First Foundation - Irvine, CA 
Summary: Responsible for working with Relationship Managers in order to service and manage client portfolios.  Serves as primary point of contact with both the Accounts Services and Trading Departments.  Supports and works on business development activities.  Analyzes daily investment activities in client portfolios, and regularly exercises discretion and independent judgment.
Duties and Responsibilities:
Serve as secondary contact for client relationship; work closely with the Relationship Manager and Executive Assistant
·         Support Relationship Manager in servicing clients and account maintenance.
·         Update Balance Sheet and Cash Flow statement when needed
·         Attend client meetings as needed
·         Document client interactions in CRM
·         Speak with clients regarding their portfolios and be able to answer both detailed market and investment related inquiries
·         Work with Relationship Managers on prospects and other business development opportunities
·         Responsible for retaining and/or obtaining client Investment Objective Sheets
·         Work directly with clients required to take a Required Minimum Distribution
·         Work with Executive Assistant to send out communication
·         Review custodial lists in order to track progress
·         Calculate (as needed) and process all Charitable Remainder Trust (CRT) distribution payments to clients
·         Calculate all Inherited IRA distribution payments
·         Work with Relationship Manager and Financial Planning department to obtain and analyze financial planning data
·         Evaluate taxable accounts for year-end tax planning strategies (i.e., tax loss harvesting)
·         When necessary, calculate and provide cost basis to Accounts Services/Custodian
·         Review daily report for deposits, withdrawals, margin, etc. and take action as necessary
·         Prepare strategy proposals for prospects and existing clients
·         Utilize Morningstar Principia for client proposals and as a portfolio management tool as needed
·         Prepare custom Monthly/Quarterly client reports, (e.g. income projections)
·         Utilize Chesire to run Monte Carlo simulations and Retirement Projections when necessary
·         Utilize Bloomberg for index, company and portfolio data
·         Screen client quarterly reports for performance errors and inconsistencies
Trading and Portfolio Management Responsibilities
·         Complete Trading Objective form for all new accounts and strategy changes
·         When necessary invest new and/or existing portfolios into the desired investment strategy
·         Dollar cost average portfolios when necessary
·         Be mindful of tax circumstances, large gains, and tax loss carry forwards as it pertains to the client
·         Whenever possible, work with Trading Department on portfolio trades
·         Review all custom and excluded portfolios after a global trade to determine suitability and trade as necessary
·         Monitor all incoming and outgoing account flows daily and invest or raise cash as needed
·         Cover margin balances as needed
·         Work directly with the Trust Department to direct portfolio trades in mutual client accounts
·         When warranted, perform a portfolio audit, which includes:
·         Running security cross references on all newly purchased and/or sold positions
·         Notify the Trading Department of all trade and/or allocations errors
·         Tracking positions with redemption fees and trading when available
·         Work with the Trading Department to determine portfolio suitability for all global trades, including but not limited to determining minimum trade sizes.
·         Responsible for entering, updating and maintaining all portfolio trade restrictions
·         Review portfolios for disparity relative to their strategy
Serve as primary contact to the Account Service Department regarding client issues and accounts
·         Work with clients in order to obtain the necessary information for the New Account Processing form
·         Work with Accounts Services in order to:
·         Ensure that all new accounts are opened accurately and efficiently
·         When necessary, review reoccurring distributions for accuracy
·         Make sure that all accounts transfers are processed and work to resolve any issues
·         Process one-time distributions
·         Notify Account Services of all closed/terminated portfolios
·         Responsible for adherence to all disclosed compliance programs, including but not limited to, completion or all required and assigned training by established due dates.
·         Understand and comply with all requirements of the law and regulations applicable to the role as set forth by the company
Job Requirements :
3+ years experience in the financial industry.  Bachelor’s degree required.  Excellent organizational, interpersonal and verbal/written communication skills.  Strong ability to prioritize and handle multiple tasks.  Familiar with a variety of the field’s concepts, practices and procedures.  Relies on extensive experience and judgment to plan and accomplish goals.  Performs a variety of tasks.  Solid problem-solving and conflict resolution aptitude.  PC proficiency, including Advanced Excel.  Thorough knowledge of related law and regulations.  Present a professional image in dealing with customers, interdepartmental and external representatives.

Thursday, December 17, 2015

Portfolio Manager - Denver, CO

Portfolio Manager - Denver, CO

RMG Associates is a national executive search firm specializing in private wealth management. Our client is seeking a Portfolio Manager (PM) for their new wealth management group of a regional bank in Denver, CO.

This is an exciting opportunity to be part of the "ground floor" of a new venture and this individual will be a key contributor to the new Denver office. The PM must have a background in investment management and advisory with HNW clients or as an institutional investment advisor. The PM will implement, monitor, and maintain investment strategies for HNW clients in an open architecture environment. The PM will also have extensive face-to-face interactions with the firm’s HNW clients. Primary responsibilities will include among others: asset management oversight, asset allocation, manager selection, due diligence coordination, performance reporting, evaluation, and rebalancing.
Experience and Requirements:
  • Bachelor’s degree required; CFA designation required.
  • Minimum of 7+ years of experience in a consultative investment role with demonstrated success in managing relationships with and delivering advice to HNW clients, and/or large institutional investors.
  • Investment advisory experience should include all aspects of the investment management process including objective setting, asset allocation and investment policy, manager/strategy research & selection, implementation, and on-going monitoring and evaluation.
  • Experience in managing relationships with sophisticated and demanding individuals with complex needs.
  • Demonstrated experience in developing and contributing to business development.
For confidential consideration please forward your resume to Jeannie Hwang at jeannie@rmgassociates.comCandidates who meet the above criteria may call Buzz Bray for a confidential discussion at 206-402-3401.  

Business Analyst, Hedge Fund - San Francisco, CA

Business Analyst, Hedge Fund - San Francisco, CA

TITLE: Business Analyst – Hedge Fund (1079-1)
COMPENSATION: Commensurate with experience

The firm is a fast-growing manager of alternative credit funds with over $1billion under management.  They make highly structured cash flow and asset-backed senior secured loans to middle market companies and are industry agnostic and employ a private debt investment process, working closely with borrower management teams and industry experts during the underwriting process and throughout the life of the loan.  In search of a Business Analyst who can bridge the gap between the business users of the reporting and the coders that will be developing the reports.

BA – required
2+ years of experience
Advent Geneva Portfolio accounting system, specifically RSL (Geneva s reporting language) -- required
RDL, Java, SQL and UNIX experience
Understanding of Microsoft SQL databases
System analysis experience and have the ability to troubleshoot and debug software
Ability to adapt to and modify existing code
Develop and document software testing
Storing, retrieving, and manipulating data
Experience of working in a client facing role and being able to communicate clearly and concisely with the team both in a technical and business manner.
Understanding of the direct lending space and the bank debt/credit facility functionality of Advent Geneva is a plus

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

Controller - Irvine, CA

Controller - Irvine, CA
POSITION: Controller (775-3)
COMPENSATION: Commensurate with experience
Large boutique wealth management firm serving ultra-high net worth clientele seek a Controller to handle General Ledger/Month-End Close/Regulatory Reporting/Financial Reporting/Controls/Major Business Initiative Support.
  • Prepare/post/reconcile/approve General Ledger entries; prepare reconciliation/substantiation of GL accounts
  • Perform accrual validation, monitor aging entries/prepare adjustments
  • Review all clearing accounts to ensure normal processing
  • Streamline new processes and increase efficiency in GL, A/P month-end close, and daily accounting operations
  • Prepare/supervise monthly/quarterly/annual financial reports and all related documentation
  • Prepare/ensure timely filing of all federal/state tax returns, year-end financials to all regulators, assist with tax planning/analysis
  • Assist in maintenance of control environment in regards to financial processing
  • Assist with month-end close: calculate/book/oversee accruals and reserves.
  • Prepare/review Balance Sheet, revenue & expense variance & trend analysis
  • Assist with audits as needed
  • Work with team members to create/update policies and procedures
  • Present reports on Accounts Payable process
  • Assist in the preparation of regulatory reports, quarterly/ad-hoc financial statements and special projects where needed
  • Provide guidance/support in the new business initiative process (new products, mergers with other IA firms)
  • All other duties commensurate with the position
  • Bachelor's Degree in Accounting
  • Series 27
  • Experience working in an environment requiring attention to detail/adherence to strict rules/standards
  • Expert-level proficiency in Quickbooks
  • Superior knowledge of FINRA filings
  • Ability to multitask in constantly changing environment; intrinsically motivated/hard worker
  • Great communication/organizational skills
  • Ability to work independently and take ownership of processes/functions
  • Strong analytical/problem-solving skills - ability to analyze complicated problems/scenarios, come up with root cause analysis as well as remediation steps
  • Excellent computer skills and capabilities- knowledge of Microsoft office required
If interested, please email your resume as an MS Word attachment to:
Tony Pietrzak
BCI - Financial Services Recruiting

Monday, December 14, 2015

Sr Wealth Mgr, Wealth Mgt, BNY Mellon – Newport Beach

Senior Wealth Manager, Wealth Management, BNY Mellon  Newport Beach

The Senior Wealth Manager serves as the trusted advisor to our high net worth clients and their families.  In this role, the incumbent provides comprehensive guidance to their clients regarding investment, trust and estate, insurance, tax and banking needs.  Senior Wealth Directors work with clients to design and implement asset allocation strategies and financial plans that meet their unique circumstances, risk tolerance, goals and objectives.  The ideal professional develops thoughtful strategies which enhance client service delivery and manage risk, as well as will work cooperatively within a team environment to harness all of the firm’s resources on behalf of the client.  Additionally, the Senior Wealth Manager will collaborate on potential new business opportunities; and enhance and expand the firm’s relationships with Centers of Influence within the community.  In partnership with Wealth Directors, Wealth Manager – Fiduciary Specialists and Private Bankers, this role requires developing current and future fee business.
·         Bachelor's degree or equivalent work experience with 8+ years of equivalent experience in the investment management industry
·         Advanced degree or professional certification is expected
·         Prior experience managing large and complex family relationships preferred
·         Passion for financial markets, including proven agility and intellectual rigor to have seen multiple market cycles
·         Strong technical proficiency in Bloomberg and intellectual flexibility to learn new propriety systems which support client portfolio needs
·         Excellent communication skills, both verbal and written
·         Gravitas to liaise across the spectrum with the most sophisticated clients to those with a basic understanding of financial assets and liabilities
·         Outstanding judgment on when and how to adjust professional style to a variety of audiences

BNY Mellon
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
As one of the nation's leading wealth managers, BNY Mellon Wealth Management is dedicated to helping individuals, families, planned giving programs, endowments, foundations and other institutions with all of their wealth and investment planning needs. By providing integrated products, services and solutions, we help them capitalize on opportunity while managing risk. Backed by more than two centuries of experience, we understand our clients' needs and deliver customized strategies to help them reach their goals.

To apply, go to https://jobs.bnymellon.com/#/jobs/1518774/Newport-Beach-CA-Sr-Wealth-Manager?lang=en-US