Tuesday, March 21, 2017

Regional Associate / Internal Wholesaler, Aristotle - Newport Beach

Regional Associate / Internal Wholesaler, Aristotle Capital Management, LLC - Newport Beach

Aristotle Capital Management, LLC and its affiliates (“Aristotle”) advise $13 billion in assets and represent independent, employee-owned, value-oriented investment advisors with offices in Boston, Massachusetts, Los Angeles and Newport Beach, California. Our clients include high net worth individuals, public and ERISA funds, corporations, educational institutions, hospitals, religious organizations, and Taft-Hartley plans. Aristotle’s Advisory Distribution team calls on registered investment advisors and broker dealers nationally, distributing separately managed accounts, unified managed accounts and mutual funds.                                          
Aristotle is an innovative research boutique. Our success in attracting and growing client assets has been a product of our commitment to industry-leading fundamental research. Our highly experienced investment team shares a common philosophy, and the firm’s principals have implemented the same disciplined investment process across various equity asset classes for decades.
Please visit www.aristotlecap.com for more information on our firm.
Aristotle intends to grow the Advisory business into an emerging leader in the SMA, UMA and Fund space in the next several years. If you are interested in becoming a part of Aristotle’s distribution build-out at this exciting time of growth, we are adding a Regional Associate / Internal Wholesaler and pursuing the following profile:
Job Title:             Regional Associate / Internal Wholesaler
Location:             Newport Beach, CA
Role:                     The Regional Associate / Internal Wholesaler will be responsible for partnering with their external wholesaler(s) to develop new relationships with financial advisors and manager existing relationships to increase sales at Aristotle.  The Regional Associate will communicate with financial professionals on a wide range of capital market and investment related topics including portfolio process and philosophy, positioning, performance, and related capital market developments.
Principal Job Functions Include (but not limited to):
  • Partner with external wholesaler(s) to drive sales and market share in the territory.
  • Effectively profile advisors to understand their practice, clients and investment process to identify needs.
  • Conduct proactive outbound sales efforts to raise awareness of Aristotle’s investment solutions.
  • Respond to inbound information & service communications. The need for timely and diligent follow-up with client contacts to close sales is imperative.
  • Utilize fund analysis and other research tools to strategically leverage our product offerings.
  • Continually build and maintain a working knowledge of Aristotle Capital’s investment management practices, policies, products and value-added services. The role requires the ability to position the firm’s investment philosophy, product differentiation and competitive analyses in group presentations and one-on-one presentations.
  • Remain current on events that impact our clients including industry and general market trends.
  • Have an in-depth knowledge and understanding of financial intermediary relationships and platforms, along with client and competitor firms and their products.
  • Assume responsibility for assigned territory including prospecting to determine key client rotation.
Job Related Qualifications:
To perform this job successfully, an individual must be able to perform each essential job function satisfactorily.  The requirements listed below are representative of the knowledge, skill and/or ability required. 
Knowledge / Skills / Abilities
  • Natural interest in sales and the financial markets: required.
  • Exceptional communication and probing skills and ability to close sales.
  • Ability to collaborate with a team and execute responsibilities independently: required.
  • Polished and ambitious professional: required.
  • Detail oriented with high degree of accuracy and timely follow through: required.
  • Series 6 or 7 and 63 or 66: strongly desired.
  • Clean U4/5: required.
  • Bachelor’s degree from accredited college or university and strong academic background: required.
Work Experience
Two to three years of relevant financial-services/work experience: highly desired.
Physical Requirements & Working Environment:
Mental & Sensory Activity Required
Must be able to quickly absorb relevant knowledge as it relates to assigned responsibilities.
Work Area Hazards
Minimal.  Use of standard office equipment.
Equipment and Special Materials Activity
Computer, internet, printer, phone, 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.
Interested applicants must provide a cover letter, resume and salary requirements to hr@aristotlecap.com. 
No phone calls.  Relocation expenses not provided.
Aristotle is an Equal Employment Opportunity Employer.
Aristotle Capital Management, LLC, Aristotle Credit Partners, LLC, Aristotle Capital Boston, LLC, and Aristotle Atlantic Partners, 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 investment strategies, fees and objectives, can be found in their respective Form ADV Part 2, which is available upon request.

Friday, March 10, 2017

Investment Perf Analyst, Aristotle - Los Angeles

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

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.

We currently 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.

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

No phone calls.  Relocation expenses not provided.

Aristotle is an Equal Employment Opportunity Employer.
Aristotle will consider for employment, qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance.
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, February 3, 2017

Sales Assoc, Pathway Cap - Irvine, CA

Sales Associate, Pathway Capital - Irvine, CA
Pathway is looking to grow its business development/client services team by adding a Sales Associate to assist our current senior team with targeting institutional investors in the private markets asset class. Pathway is a leading private market fund-solutions provider with a team of more than 125 individuals across four offices and more than $40 billion in assets under management. This is an opportunity for a motivated individual looking to join a growing business development/client services team of a well-established, industry-leading private market investor.
Job Description
Sales Associate is a business-development support position responsible for assisting the senior business-development team in its effort to strategically build relationships with prospective institutional investors and consultants across North America. This position involves working with the senior business-development team, as well as with various members of the investment team, responding to requests from prospective investors and consultants, conducting research on business-development projects, updating and maintaining internal and external databases, assisting in the management of consultant relationships, corresponding with clients, and attending select industry conferences. Over time, it is expected that a successful Sales Associate would grow into a senior
business development/client services professional position.
• Bachelor’s degree with a record of high academic achievement
• 3 to 5 years of marketing- and/or sales-related experience with record of
achievement, preferably with a financial services or investment management firm
(ideally in the alternative investments sector)
• Strong verbal and written communication skills
• Confident, assertive self-starter who is extremely organized and goal driven
• Team player
• Willingness for cold-calling, experience preferred
• Willingness to travel
• Proficiency in Microsoft Office
• Experience with CRM database systems (Salesforce preferred)
To apply, please send resume to resumes@pathwaycapital.com

Wednesday, February 1, 2017

Chief Investment Officer, OCERS - Santa Ana, CA

Chief Investment Officer, Orange County Employees Retirement System - Santa Ana, CA
OCERS provides retirement, death, disability, and cost-of living benefits to employees of the County of Orange and certain County special districts and agencies. OCERS is governed by a nine-member Board of Retirement that is responsible for managing a $13.1 billion dollar fund.
OCERS seeks to fill the position of Chief Investment Officer (CIO). As the System's strategic
investment leader, the CIO is responsible for directing the management of OCERS' investment portfolio within the goals established by the Board and will have leadership responsibilities that generally accompany the position of the Senior Investment Officer.
MINIMUM QUALIFICATIONS: Graduation from an accredited four year college or university with a Bachelor's Degree AND Master's Degree in Economics, Finance, Business, or related field are
required AND fifteen years of relevant generalist investment experience in a leadership position
with a complex investment organization and positive track record of performance as compared to
appropriate benchmarks. Proven experience in developing and implementing the overall
investment strategy and vision. Public pension fund experience is desirable, however applicants
with relevant investment experience in a leadership position with complex investment organizations
will be considered. Chartered Financial Analyst (CFA) certification highly desirable.
APPLY IMMEDIATELY AT: http://agency.governmentjobs.com/oc/default.cfm or contact Cynthia Hockless, Director of Administrative Services, at chockless@ocers.org Equal Employment Opportunity

Tuesday, January 31, 2017

Compliance Analyst/Mutual Funds, PIMCO - Newport Beach, CA

Compliance Analyst/Mutual Funds, PIMCO - Newport Beach, CA

Job ID #: 16099 
Functional Area:  Compliance   
Department:  L&C-Compliance-Guideline   
Position Type:  Full Time   
Education Required:  Bachelors Degree   
Experience Required:  Not Indicated   
Relocation Provided:  Yes  


A Portfolio Compliance Analyst is responsible for reviewing 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. 


  • An undergraduate degree in Business, Finance, Economics, or Accounting is required for this role.
  • Strong MS Excel skills required; technical aptitude with Macros/Visual Basic is desirable.
  • Two+ years of compliance experience, preferably with auditing mutual funds subject to the Investment Company Act of 1940 is preferred.
  • 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.
  • Experience with Bloomberg and Business Objects, a plus. 
  • CFA or MBA designation, or active status in such program, is helpful.
  • 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.
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.
To Apply: 

Monday, January 30, 2017

Wealth Manager, BizDev/Relationship Mgr - San Francisco, CA

Wealth Manager - Business Development / Relationship Manager (1166-1) - San Francisco, CA
Compensation commensurate with experience (salary + commission + bonus + benefits)

Rapidly growing Registered Investment Advisor serving high-net worth individuals/executives/business owners/retirees seeks a goal-oriented, dedicated, competitive wealth management business development/relationship manager. We recognize some people are natural rainmaker/closers and some are natural relationship nurturers; either can be successful in this role and we are open to either type of profile.

Build long term client relationships through white glove service and consultative sales process
Retain long term clients by providing continuous communication, intelligent advice and suitable investment recommendations
Manage existing client base by focusing on deepening the relationships and increasing referrals
Provide feedback and ideas that contribute to growth of the firm and maintain high client retention
Mentor junior wealth managers

Minimum of 4-5 years’ experience working with high net worth individuals in a wealth management setting; boutique experience preferred
Demonstrated success in consultative sales resulting in new client relationships
CFP or willing to gain these credentials within 1 year
Series 7 and Series 66 or Series 65 (Must have the 65, 66 or be a CFA)
Portable book of relationships/clients not required but a strong plus

If you are interested in this opening, please email your resume as an MS Word attachment to Maura Bilek, BCI - Financial Services Recruiting, maura@brokerageconsultants.com

PM, Emerging Mkts Small Cap Equity - Los Angeles, CA

Portfolio Manager, Emerging Markets Small Cap Equity - Los Angeles, CA  
Full-time $90k - $130k
We are a boutique investment firm, providing investment management and wealth advisory solutions to institutions, financial intermediaries, and high-net-worth individuals. We build high-conviction portfolios of quality companies. We employ rigorous research and have a long-term focus. We are located in Century City, CA. within minutes of the Century City shopping center and just miles away from the Venice and Santa Monica beaches.
Top Reasons to Work with Us
- Competitive Base Salary
- Outstanding Bonus package
- Strong Benefit Plan
- Great Work Life Balance
What You Will Be Doing
- Manage a portfolio of emerging markets small cap equity in a manner that is consistent with the process and is in accordance with strategy, client and regulatory requirements.
- Demonstrate mastery of the investment strategies and tactics that impact the direct management of portfolios. Produces consistent performance over time which outperforms agreed upon client benchmarks, peer group and consultant universes (MSCI Emerging Markets).
- Review portfolio returns and performance attribution on a scheduled basis.
- Visit companies, call management and maintain dialogue with existing portfolio holdings. Manage portfolio within the risk constraints and parameters specified by the strategy.
- Prepare quality reports on investments and present and discuss investment ideas with other team members.
- Prepares and presents portfolio reviews to senior management, clients and potential new clients.
- Play a substantial marketing role in representing the firm at individual client presentations. Assist in preparation of presentation materials.
- Encourage and reward a culture that values mutual respect, meritocracy, open communication and promotes opportunity for initiative and growth both within and outside traditional organizational boundaries.
What You Need for this Position
More Than 5 Years of experience and knowledge of:
- 5+ years of Emerging Market Analytical Experience
- Portfolio Manager
- MSCI Emerging Markets
- Research Quantitative and Analytical
- Business Models and Financial Models
- Investment Reports
So, if you are a Portfolio Manager with Emerging Markets Small Cap Equity experience, please apply today!
Applicants must be authorized to work in the U.S.
Preferred Skills
CFA 5+ years of Emerging Market Analytical Experience Portfolio Manager MSCI Emerging Markets Research Quantitative and Analytical Business Models and Financial Models Investment Reports
Chris Gieske is recruiting for this position: Chris.Gieske@CyberCoders.com

Thursday, January 26, 2017

IT Portfolio and Service Management / Contract - Irvine, CA

IT Portfolio and Service Management / Contract - Irvine, CA
A well-established privately held client located in Irvine has an immediate need for a IT Portfolio and Service Management Consultant to join their dynamic team as a 6 month contract assignment with option to hire opportunity. The Consultant will report to the Vice President of IT Portfolio and Service Delivery and will participate in the improvement capabilities across the IT organization and focus on service delivery projects, customer satisfaction, and evolving the IT organization’s skills and capabilities. The successful candidate needs to have broader experience than just project management and needs to have prior experience with portfolio breadth and depth.The candidate need to have 3 to 5 years of Big 4 or top tier Consulting experience with strong project/portfolio management and the ability to influence others.
The successful candidate is relationship oriented with strong interpersonal, presentation and influencing skills and comes from a top tier consulting firm.
Strong written and oral communication skills with strong executive presence and ability to interact with Directors and Vice Presidents comfortably
Act as an extension of VP, to help with customer satisfaction surveys and process, QA process, tools and methodology, help coach team members using tools, process and methodology
Needs to have strong Project or Portfolio Management experience with Service
A full opportunity description is available from Shiree Wilson, Recruiting Manager at M.E. Weaver & Associates, swilson@mewa-llc.com

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.

• 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.