Thursday, February 21, 2013

Exec. Asst to President, WealthWise Fin Services - Irvine

Executive Assistant to President, Financial Services
Location: Irvine, CA
Company: WealthWise Financial Services

WealthWise Financial Services is a full-service wealth management organization offering securities and financial planning through LPL Financial. WealthWise Financial has redefined Wealth Management by providing comprehensive wealth strategies with the utmost integrity, competence and care.  We are a fast-paced growing organization that prides itself on customer service and the quality of our employees.

Position Overview
This role is responsible for handling both executive assistant and personal assistant duties.  The assistant ensures that the office of the CEO operates in an efficient and effective manner by supporting heavy and ever changing calendar management, receiving high volume phone calls, making travel arrangements, handling or delegating personal errands, supporting event planning and other projects as needed. In addition, this role requires full security licensing and duties will include trading, data entry for financial planning software and paperwork that requires a detail-oriented disposition. 

The Executive Assistant must possess exceptional verbal and written communication skills, tact and diplomacy, and above average time management skills. The nature of the assignments and information shared may be highly confidential and sensitive in nature thereby requiring considerable independent good judgment. This administrative position with WealthWise Financial requires a very professional, energetic, self-starter who wants to contribute to a fast-paced, challenging organization.

Areas of Responsibility
·    Coordinate all activities for the President.
·    Screen calls, visitors, emails to effectively prioritize workflow for the President.
·    Provides assistance in the day-to-day processing of client paperwork and transaction processing. This includes checking paperwork for completeness and accuracy and opening client accounts.
·    Schedule and maintain Presidents' calendar for meetings, conference calls, travel, and other events.
·    Coordinate travel arrangements for President.
·    Independently researches, prioritizes, and follow up on multiple incoming issues and concerns addressed to the President, including those of a sensitive and/or confidential nature; determines the appropriate course of action, and/or response.
·    Manages communication flow from President to internal and external parties.
·    Collaborate with team members to create smooth work flow and meet deadlines.
·    Organizes and maintains required compliance files, keeps prospectuses and paperwork up-to-date.
·    Researches information, resolves any outstanding client, transaction or paperwork issues.
·    Represents and manages (on behalf of the President) key external relationships with regard to clients, vendors, partners and other business associates.
·    Provides administrative support, including assistance in composing and editing routine and advanced correspondence including letters, presentations, memoranda, and reports.
·    Participates in meetings as requested to take meeting notes for future discussion, distribution and follow-up.
·    Assists with special projects as requested.
·    Assists President with personal tasks as requested.
·    Executes trades on accounts with the President’s directive.
·    Data entry for financial planning software.
·    Performs other duties as assigned.

Education & Experience Requirements
·    Bachelor's degree is preferred
·    Minimum 5 years experience working as an administrative assistant to a President or CEO is preferred
·    Must have prior experience working in the financial services industry

Required License/Certification
• Must obtain FINRA Series 7 and 66 licenses within the first six months of employment.  Having licenses already is preferred.

Knowledge, Skill and Ability Requirements
·    A high level of professionalism and an appreciation for the confidentiality and sensitivity of information received and handled.
·    Knowledge of general office procedures
·    High level of proficiency with all MS Office applications including: Word, Excel and Outlook, as well as Act. Must have the ability to navigate easily through Internet-based systems

Skills & Abilities
·    Proven ability to remain flexible in the work environment and manage multiple priorities under time constraints in a fast paced environment, with an attention to detail
·    Ability to solve practical problems and deal with a variety of variables in situations where only limited standardization exists.
·    Ability to exchange information clearly and concisely and to effectively present ideas, report facts and other information.
·    A high level of professionalism and an appreciation for the confidentiality and sensitivity of information received and handled.
·    Ability to effectively research topics and analyze information as needed.
·    Strong organization, planning, analytical and problem-solving skills with the ability to apply these skills in a fast paced environment.
·    Ability to effectively prioritize time sensitive material in an effective manner.
·    Excellent oral and written communication skills with the ability to independently compose correspondence on behalf of the President.
·    Excellent interpersonal skills in order to relate well to all levels within the organization.
·    Ability to use corporate "intuition" to anticipate and predict the needs of the President and other executives
·    Ability to work under high demands and expectations
·    Ability to be pro-active and detail-oriented: must work successfully under pressure and handle all situations with the highest degree of professionalism

 Please send resumes to:  Number: 949-748-1177 Ext: 222

Wednesday, February 20, 2013

PM or Investment Analyst, Derivatives, Currency & Interest Rate - Chicago & Toronto

Portfolio Manager – Derivatives – Currency & Interest Rate (PM) - 872-008-711
Investment Analyst – Derivatives – Currency & Interest Rate (IA) - 872-009-711
Location: Chicago or Toronto – open on location
Compensation: Commensurate with experience

Institutional asset management arm of a global financial organization seeks a number of derivatives investment professionals to join their team responsible for managing a robust derivatives management framework
Both roles are an integral part of a high-performing portfolio management group, responsible for analysis/construction/execution of derivative strategies, specifically as it relates to currency & basis risk hedging programs and interest rate hedging programs for clients
Liaise/interact/communicate with various portfolio management teams as it relates to derivatives management; communicate with and provide appropriate consultative derivative support to clients
While the IA role will support the PM, there are overlapping responsibilities--below the unique responsibilities are detailed with PM or IA accordingly

Analyze/construct/recommend/execute all derivatives strategies for clients
Utilize portfolio management systems to monitor/analyze derivative risk positions
PM: Develop/drive client derivative solutions | IA: Will assist with this process
PM: Manage all foreign exchange and basis risk hedging programs | IA: Will assist with this process
PM: Manage all interest rate hedging programs | IA: Will assist with this process
PM: Manage all derivative programs in accordance with client portfolio guidelines, internal guidelines and regulatory guidelines | IA: Will assist with this process
Monitor derivative market/trading conditions including economic factors/foreign exchange/interest rates/spreads/specific trading levels
Assist in responding to various client informational requests
Maintain/cultivate/develop relationships and contacts within the derivative investment community

BA/BS in finance/accounting/economics
PM: CFA designation is required | IA: Pursuit of CFA Charter is required
PM: Minimum of 5 years of investment experience in both OTC and exchange-traded derivative markets, with particular experience in foreign exchange/interest rate hedging practices
IA: Minimum of 2 years of investment experience in both OTC and exchange-traded derivative markets, with particular experience in foreign exchange/interest rate hedging practices
Possess understanding of and experience with various derivatives instruments, including forwards/futures/swaps
Maintains current knowledge and understanding of derivative regulatory environment
Possesses strong quantitative/analytical/modeling as well as written/verbal communication skills
Demonstrates his/her consistent ability to work with minimum supervision as well as the ability to prioritize workload to meet deadlines and attain maximum effectiveness
Experience utilizing portfolio management systems/derivative trading systems (experience with Blackrock Aladdin a plus)

If interested, please email your resume as an MS Word attachment to:
Jordan Striggow, BCI - Financial Services Recruiting
312-460-8111 x112

Wednesday, February 13, 2013

Director of Finance, UMMA - Los Angeles

Director of Finance, University Muslim Medical Association - Los Angeles

Position Description
Reporting to the CEO, the Director of Finance will be responsible for providing leadership necessary to: 1) Build the finance department and provide strategic financial information that help with organizational decision support; 2) Manage all financial accounting and reporting, procedures and internal controls of the organization including the billing function; 3) Ensure financial operations comply with Clinic policies, contracts and regulations; and 4) Provide overall supervision of Payroll, Purchasing, Accounts Receivable, Accounts Payable, and General Accounting functions of the organization.

The successful candidate will have experience with, and knowledge of accounting in accordance with generally accepted accounting principles; grants and government contract accounting; health care finance, including third party reimbursement mechanisms and Federal guidelines regarding budget and financing; accounting systems and hardware used to operate those systems; and general computer skills in Microsoft Office programs (Word, Excel, etc.). A degree in accounting, finance or business or equivalent experience and several years of experience in accounting, preferably in a health care environment is desirable. Experience in a nonprofit funded by government contracts is also preferred.

The compensation for the position is within an established range, $90,000-$100,000 depending upon qualifications and experience. There is a well-defined benefit package that includes health, dental and vision plans, life insurance and a 401K (no match).

Organization Description
Starting in 1996, UMMA has been redefining healthcare for the people of South Los Angeles, by applying the ethical, financial, and social teachings of Islam to the problems of caring for the underserved. UMMA provides comprehensive family care and serves as the regular family doctor to over 15,000 adults and children. The Clinic is their only source of healthcare and without UMMA many diseases would go undiagnosed or untreated. UMMA’s standards of clinical excellence and stringent operations have earned the Clinic Federally Qualified Health Center (FQHC) status and recognition from the Better Business Bureau’s Wise Giving Alliance.

UMMA is also dedicated to medical students and serves as a teaching site for UCLA.  UMMA has a multi-disciplinary staff of approximately 24 case managers, health educators, outreach workers, administrators and client services professionals Governed by a 13 member Board of Directors, UMMA has an approximately $6 million operating budget comprised of a mix of fee for service, State and County grants, and foundation support.   Additional information can be found on UMMA’s website:

Direct inquiries and résumés to
Johnston and Company, Attn: UMMA Programs, 6167 Bristol Parkway, Suite 140, Culver City, CA 90230
Electronic résumés and cover letters preferred.  E-mail to

Friday, February 8, 2013

Associate Portfolio Manager, City National - Irvine, CA

Associate Portfolio Manager, City National - Irvine, CA

Job Description
Implement proprietary strategies and asset allocation for City National clients. Assist Sr. Portfolio Managers (SPM) in the development of short-and long-term investment strategies and approaches to achieve investment goals for clients. Assist SPM in developing research and analysis that contributes to CNAM’s market strategies, asset allocation policies and tactics. Assist SPM’s in the development of communications and presentations concerning strategic shifts and changes in the marketplace to both clients and client facing colleagues. Recommend trades consistent with CNAM policies and client guidelines and objectives for approval by SPM’s. Rebalance clients’ asset allocation consistent with investment objects and risk tolerance. Review the assets in each account periodically to ensure that investments meet the intent and strategies of the client. Follow appropriate Regulation 9 process. Maintain all appropriate training and continuing education requirements for both internal programs and external licenses and certifications.
  • *Minimum 3 years of investment services experience required.
  • *Minimum 4 years of basic computer experience required (e.g. MS Word, Excel, Outlook, and PowerPoint)
  • *Minimum 2 years experience in a banking or financial services environment required.
  • Bachelor Degree. CFA or work toward CFA or MBA preferred.
  • Demonstrated ability to apply relevant financial market knowledge and theory preferred.
  • Ability to provide successful, reasoned, and timely inputs associated with all aspects of managing client portfolios preferred.
  • Ability to aid the investment team in achieving superior performance while complying with all risk and regulatory requirements.
  • Proficiency in investment analysis and research techniques.
  • Excellent understanding of the economy and financial markets.
  • Strong interpersonal, verbal and written communication skills.
  • Ability to plan, organize and prioritize work.
 *Represents basic qualifications for the position. To be considered for this position you must at least meet the basic qualifications.
Exempt, Regular, Full Time, M-F. 
Equal Opportunity/Affirmative Action Employer, M/F/D/V
Note: This preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.  Candidates are advised that City National Bank does not pay interviewee travel expenses or relocation expenses for candidates who are hired unless previously agreed

Candidates can apply at:

Wednesday, February 6, 2013

Multiple positions, CFA Institute - New York

Multiple positions, CFA Institute - New York

Director, Curriculum Projects    Education Division
Director, Global Investment Performance Standards    Standards and Financial Market Integrity
Director, Global Private Wealth Management     Education Division
Director, Society Relations, Americas    Stakeholder Services, Marketing, and Communications
Human Resources Business Partner    Human Resources
Find more information at:

Multiple positions, CFA Institute - Charlottesville, VA

Multiple positions, CFA Institute - Charlottesville, VA       

Director, Curriculum Projects     Education Division
Director, Global Investment Performance Standards   Standards and Financial Market Integrity
Director, Global Private Wealth Management   Education Division
Director, Learning Strategy and Design   Strategic Products and Technology
Director, Society Relations, Americas   Stakeholder Services, Marketing, and Communications
Event Specialist   Education Division
Exam Security Coordinator  Education Division
Human Resources Business Partner  Human Resources
Society Relations Representative, Americas   Stakeholder Services, Marketing, and Communications
Testing Coordinator   Education Division
Find more information at:

Director, Global Private Wealth Mgt, CFA Institute - Charlottesville, VA

Director, Global Private Wealth Management , CFA Institute - Charlottesville, VA
The Director, Global Private Wealth Management will lead efforts at CFA Institute to educate and engage members and other stakeholders who serve as private wealth managers. This position will lead development of PWM educational content and work collaboratively with a broad spectrum of internal and external stakeholders, including media and public relations teams, web presence teams, strategy, product and industry relations teams, CFA Institute Societies and leadership within the Education and Standards and Financial Markets Integrity divisions. The Director, Global Private Wealth Management will also manage the CFA Institute web and social networking PWM resources, be accountable for strategic choices in furtherance of our objective of being the preeminent authority on investment issues related to private investors and work with the Head, Standards of Practice and Outreach to recruit members of a CFA Institute advisory council concerning PWM issues.
The position will be headquartered in Charlottesville or New York, and will report to the Head, Standards of Practice and Outreach.

Responsibilities include but are not limited to:
  • Contribute to development of educational content that is relevant to private wealth managers
  • Promote comprehensive range of CFA Institute content to PWM practitioners
  • Significant contributions to identifying and selecting candidates to serve as well as administrative management of process leading to establishment of Private Wealth Advisory Council, and serves as primary staff liaison to that group, engaging with Council members to inform content development and though leadership as well as leveraging Council members’ connections with private wealth manager communities
  • Coordinates with Education division staff to facilitate practice analysis of private wealth educational content and periodic updates of PWM body of knowledge
  • Serves as staff expert on Private Wealth markets globally and provides insights as to how CFA Institute can best serve unique needs of these practitioners
  • Leads review and development of CFA Institute Private Wealth strategy
  • Establishes and maintains excellent working relationships with Investor Education, Strategic Products and technology, and other internal staff to inform all CFA Institute content that is relevant to PWM .
  • Serves as primary media and public outreach resource for commentary on private wealth management issues at CFA Institute
  • Coordinates with internal resources to revise and enhance presentation of PWM content in online properties
  • Establishes and maintains productive relationships with other global stakeholders in furtherance of the objective of establishing CFA Institute reputation as preeminent authority on investment issues for private investors
  • Develops and promotes original thought leadership related to private wealth management
  • Bachelor’s degree; advanced degree preferred
  • CFA charter
  • Minimum 10 years of experience in investment management, with experience in private wealth management especially valued
  • Significant experience in investment management, marketing, and/or content development in a multinational environment preferred
  • Experience in developing new market segments and/or or identifying how to engage and educate new audiences
  • Fluency in English required, knowledge of additional languages would be useful.
  • Must demonstrate outstanding stewardship and relationship building/management skills to expand the mission of CFA Institute
  • Knowledge and experience of financial markets and issues globally
  • Global cultural orientation and working experience
  • Excellent interpersonal skills including a professional and diplomatic demeanor
  • Excellent communication skills including written, verbal, listening, and presentation
  • Ability to create new and unique ideas and an entrepreneurial spirit a plus
  • Experience as a CFA Institute volunteer in grading or curriculum and exams a plus
  • Proficient using standard office software such as Word, PowerPoint, Excel, Outlook
  • Experience in project management, with skills necessary to interpret what is needed for the success of a project and to create appropriate schedules for timely delivery
  • Very high level of organizational and time management skills
  • Flexibility in competently juggling competing priorities and changing expectations
  • Must demonstrate outstanding judgment and mature business skills with the ability to establish a strong rapport with senior management
  • Excellent consulting, problem solving, and analytical skills
  • Willingness to ask questions rather than just follow directions is required.
  • Must demonstrate good judgment and mature business skills
  • Energy to put in the hours of concentrated work necessary to achieve goals while maintaining a positive attitude
  • Ability to handle confidential and sensitive information with a high degree of professionalism
Some global travel may be required; approximately 10-15 percent of the time

Apply at:

Monday, February 4, 2013

THIS POSITION HAS BEEN FILLED - DO NOT CONTACT: Investment Analyst, Pathway Cap Mgt - Irvine

Investment Analyst, Pathway Capital Management, LLC - Irvine, California

Pathway Capital Management, a leading institutional investment management firm that creates and manages specialized private equity funds of funds for institutional investors worldwide, is seeking an Investment Analyst. Investment Analysts are responsible for monitoring client portfolios and analyzing potential private equity fund investment opportunities. Investment Analysts work closely with Associates, Vice Presidents, and Directors on small client and due diligence teams.

Responsibilities include:
  • Analyzing financial statements of private equity partnerships, including a review of partnership portfolio company valuations and cash flows
  • Preparing client reports and presentations
  • Assisting with special reporting, research, and due diligence projects on an ad hoc basis
  • Performing an initial quantitative and qualitative review of potential private equity fund Investments
  • Conducting in-depth quantitative analysis of potential private equity fund investments
  • 1—2 years of analytical experience in investment banking, consulting, audit, investment
  • management, or other similar fields
  • A bachelor’s degree in business, finance, economics, business economics, or related
  • field with a record of high academic achievement
  • A strong interest in investments and the capital markets
  • Strong quantitative and analytical skills
  • Strong interpersonal, communication, and writing skills
  • Ability and desire to work in a collaborative environment
Pathway Capital Management creates and manages specialized private equity funds of funds for institutional investors worldwide. Pathway’s founders have accumulated significant experience as a team, working with more than 50 institutions in the development and management of their fund investment portfolios since 1991. Pathway's clients include some of the largest corporate and public pension plans, government entities, and financial institutions in North America, Europe, and Asia.
Pathway has analyzed over 6,100 private equity fund opportunities for potential investment and has monitored over 900 private equity partnership investments. Pathway's senior professionals have established long-term relationships with leading general partner groups and a reputation in the industry that give us continued access to the highest-quality investments. As a result, Pathway has consistently created successful private equity programs for clients and has remained a leader among private equity management firms.
Pathway’s 31 investment professionals work out of offices in California, Rhode Island, and London. Pathway is an independent company, wholly owned by its 15 senior professionals.

Apply to: Laurie Kiley at

Compliance Officer - San Francisco

Title: Compliance Officer (546-009-411)
Location: San Francisco, CA
Compensation: Open

Summary: The Compliance Officer will report to the CCO however will work closely with both the Compliance and Legal Departments.  The primary focus will be to provide compliance oversight to investment and non-investment staff in the firms San Francisco office and assist the Compliance Department with ongoing regulatory requirements.

Maintain compliance presence and provide oversight and guidance to staff
Assist the Compliance Department with forensic testing and ongoing regulatory requirements
Assist with enforcing compliance policies
Escalate matters to the CCO and GC if necessary
Provide administrative support to the legal/compliance team

BA - required
5+ years of experience in the compliance or legal department of an investment adviser or broker-dealer
Strong organizational and research skills
Ability to work independently and excel in a high intensity environment
High standard of professionalism dealings with internal staff and any external partners/clients/regulatory agencies
Strong written and verbal communication skills
Outstanding attention to detail
Prior experience with Eze Castle or Charles River - preferred

If you are interested in this opening, please email your resume as an MS Word attachment to:
David Pieper
BCI - Financial Services Recruiting
312-460-8111 x113