Friday, August 23, 2013

VP, Institutional Sales and Marketing - Southern California

VP, Institutional Sales and Marketing - Southern California  (917-001-111)
Compensation: Commensurate with experience

BCI has been retained by an institutional investment management firm with more than $4 billion in assets under management and a nearly 25 year track record to identify two institutional sales professionals.  Product mix includes separately managed account strategies, a mutual fund, and additional products that are in development.
  • Develop/execute a coordinated direct solicitation program aimed at winning investment mandates for pension plans/endowments/foundations/corporations
  • Develop detailed knowledge and understanding of firm investment strategies
  • Present knowledgeably on all aspects of investment management expertise to institutional prospects
  • Deliver regular sales presentations/RFP responses to institutional prospects
  • Work with the Director of the Business Development group and investment management staff (portfolio managers/consultant relations/client services/legal/compliance) throughout the firm to design strategic sales solutions and due diligence presentations meeting specific client needs
  • Maintain close, positive, on-going relations with clients in order to strengthen candidacy for future mandates
  • Maintain/develop relationships with Field Consultants
  • Build and maintain relationships by working with institutional prospects/clients as a partner; understanding, anticipating and meeting their needs on a timely basis
  • Increase market awareness and enhance firm’s brand name by hosting events/attending conferences/participating in associations and by increasing market visibility
  • 5-10 years of direct institutional investment sales experience
  • Experience with wide geographic coverage desirable; strong relationships in Florida and Texas preferred
  • BA/BS degree required; MBA and/or CFA preferred
  • Generalist institutional client experience preferred, but relationships in the following spaces particularly desirable: public pensions, corporate, foundations and endowments
  • Knowledge of competitive products/distribution systems/consultant trends
  • Track record of stability and success ideal
  • Superior integrity, work ethic, and written/verbal communication and presentation skills
  • Drive to succeed and ability to develop relationships and win final presentations will be key measures of success
  • Must be able to travel
If interested in this opening, please email your resume as an attachment to:
Tony Pietrzak, BCI - Financial Services Recruiting

Sr. Portfolio Manager, Private Client Reserve, U.S. Bank – San Diego

Sr. Portfolio Manager, Private Client Reserve, U.S. Bank – San Diego
The Private Client Reserve of U.S. Bank offers creative, forward-thinking and timely strategies to help successful individuals and families accomplish their goals. For generations, we've helped our clients realize their dreams by helping them with their goals of growing, managing, protecting and transferring their wealth. We understand that complex wealth issues demand comprehensive solutions. That's why we've assembled teams of experts with a full array of solutions including financial planning, investment management, personal trust administration, private banking, insurance services, legacy and philanthropy. To learn more about The Private Client Reserve and our offerings, please visit our website at:  


The Sr. Portfolio Manager is a client facing role on a team of wealth management professionals. The individual selected will be responsible for managing individual and/or trust account assets and investment relationships consistent with the established investment objectives and strategies of the company and/or the client. Strong focus on managing client account retention to meet Net Portfolio growth objectives of the company. Shared responsibility for soliciting, developing, managing, and retaining client relationships for Wealth Management.


  • Manage a portfolio of individual and/or trust account assets to maximize investment return commensurate with an acceptable level of risk.
  • Assists in the development and implementation of short and/or long-term investment policies and strategies based on management investment philosophy and customer investment objectives.
  • Keeps informed of developments in investment markets, using fundamental and/or technical research to arrive at sound and timely investment decisions.
  • Supports, as needed, new business development, relationship management, marketing and/or technical research to arrive at sound and timely investment decisions.
  • Supports, as needed, new business development, relationship management, marketing and/or product development.
  • Assist senior managers with major accounts.

  • Bachelor's degree, or equivalent work experience
  • 10 or more years of investment experience
  • CFA or CFP certification or currently pursuing a CFA or CFP certification preferred
  • Thorough understanding of the investment management field
  • Strong knowledge of finance, economics and general business
  • Effective sales and relationship management/client service skills
  • Ability to make critical decisions independently and within teams
  • Excellent presentation skills on investment strategies to clients and prospects
  • Well developed interpersonal and written and verbal communication skills
To apply:  Please contact   

Wealth Management is the fastest growing division of U.S. Bancorp (U.S. Bank). In 2011 U.S. Bank delivered record results and is on track to achieve even better performance in 2012. We are the fifth largest bank in the US, and a leader of the industry by virtually every measure of financial performance, strength and stability. In 2011 Fortune magazine named U.S. Bank the Most Admired Superregional Bank, and the fifth Most Admired Company in Management Quality in the world.

Monday, August 19, 2013

Director of Trading, Index Fund Advisors - Irvine, CA

Director of Trading, Index Fund Advisors -  Irvine, CA

A large fee-only wealth management firm, Index Fund Advisors, Inc. (, a $1.9B RIA in Irvine, is searching for a Director of Trading to oversee and work along with 3 junior portfolio managers. The firm specializes in passively managed portfolios of global equity mutual funds and fixed income mutual funds, mostly from Dimensional Fund Advisors. The ideal candidate will be responsible for overseeing the daily operations of the trading department, as well as working closely with financial advisors, marketing and compliance. Knowledge and agreement of IFA's portfolio strategies and the underlying research behind the firm’s philosophy is critical. It can be reviewed at
Qualifications include:
·         3+ years’ work experience at an RIA with preferably $250M+ in AUM
·         Willing to commit to a passive portfolio of index funds in your personal portfolio or 401k plan
·         Management experience overseeing employees and working across departments
·         Extensive experience with asset allocation models and trading mutual funds, ETFs, stocks and Fixed Income
·         An understanding of the tax consequences of trading
·         Advanced in Microsoft Excel (mandatory)
·         Advanced in Econometrics & Statistics (mandatory)
·         Experience in trading on Schwab, Fidelity and TD Ameritrade Platforms
·         Experience in portfolio management systems, such as FinFolio, Portfolio Center or Advent
·         CFA and/or MBA and an understanding of academic finance preferred
Please review before applying and, if you agree with the content, send a resume
and cover letter to along with your salary history.

Monday, August 12, 2013

Banker, JP Morgan Private Bank - Orange County

Banker - JP Morgan Private Bank - Orange County, CA-130069029
Primary Function
As a Banker at J.P. Morgan, you will be accountable for identifying and developing client relationships within the ultra-high net worth or high net worth market. As the brand ambassador for J.P. Morgan, the Banker leads new client acquisition and retention through a broad knowledge of investments, banking, trust services, and financial planning. The Banker also leverages the specialists on their team in order to provide interdisciplinary expertise for our most complex clients. This role is primarily responsible for the client experience and engaging our resources to deliver a complete wealth management solution. Typical clients have a net worth of $5 million and above.
·         Responsible for engaging in aggressive business development (to include prospecting, development of external and internal referral sources, use of personal and professional contacts) to deliver significant results
·         Act as relationship manager for specific portfolio of clients and ensure every client has a positive experience
·         Perform role of chief client strategist by coordinating the team’s ongoing communication with the client and orchestrating the execution of the client plan
·         Exceed the expectations of J.P. Morgan clients by displaying creativity in formulating integrated solutions through the use of a wide range of products and services (including investments, trust, banking, wealth transfer, etc.)
·         Develop a perspective on specific client situations in order to proactively and effectively select and recommend solutions that could resolve their issues and meet their objectives
·         Demonstrated understanding of investments, banking and trust concepts including, but not limited to: asset allocation on structured portfolios, managed portfolios, brokerage accounts, portfolio reviews, deposit and loan solutions, basic trust and estate products and identification of wealth planning opportunities
·         Measurable track record of successfully selling to ultra high net worth and/or high net worth clients
·         Analytical ability  in order to relate specific client asset situations to individual products
·         Interactive skills in order to understand client needs and take action with the appropriate solutions
·         Strong client relationship management and sales skills
·         Continuous prospecting skills applied to COIs (centers of influence), associations, and community activities
·         Experience profiling and formulating strategies for potential clients
·         Demonstrated ability to close deals
·         Impeccable interpersonal and organizational skills
·         Strong leadership and management skills along with high level of self motivation
·         Ability to work in a team based environment and assist in the development and retention of junior team members
·         Seven plus years experience in private banking/wealth management developing business with ultra high net worth and/or high net worth individuals and families
·         Bachelors degree required, MBA, JD, CFP, CFTA, CIMA or CFA strongly preferred
·         Thorough knowledge of  specific geographic market
·         Established network of COIs (centers of influence) and sources for referrals
·         Series 7 & 63 licenses required for position; however, unlicensed candidates considered but required to obtain licenses within 90 days of start date
·         National Mortgage Licensing System (NMLS) registration under the terms of the Safe Act of 2008 is required. Upon active employment with J.P. Morgan, you will be required to either register via the NMLS registry or re-register and move your previous registration to J.P. Morgan.
J.P Morgan offers an exceptional benefits program and a highly competitive compensation package.
J.P. Morgan is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.
·         In depth experience and/or knowledge of hedge funds, private equity and alternative investments
·         Able to execute trades smoothly and seamlessly and tasked with managing brokerage activity
·         Sales experience including: profiling, overcoming objections, negotiation, team selling approach, closing the sale and asking for referrals
·         Conducts operations within FINRA and other regulatory agency guidelines and requirements
·         Demonstrated understanding of wealth management including, but not limited to: credit, deposits, trust and financial planning
·         Ability to work in a team based environment
Position Requirements
·         Seven plus years experience in Private Banking or Financial Services industry
·         Ideal candidate has prior experience providing complex investment solutions to High Net Worth families and/or individuals
·         Licenses 7, 66 required for position
·         Bachelors degree required; MBA or CFA preferred
 J.P. Morgan Private Bank has been helping the world’s wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized, comprehensive financial solutions for more than 160 years. J.P. Morgan is a global leader in asset and wealth management with assets under supervision of $2.1 trillion and assets under management of $1.4 trillion. With Private Bank advisors in 110 offices in 25 states and 20 countries, the Private Bank provides clients with a global perspective delivered through a local, dedicated team of specialists focused on fundamental wealth management disciplines, including investment management, wealth structuring, philanthropy, credit and banking.
JP Morgan Chase offers an exceptional benefits program and a highly competitive compensation package. JP Morgan Chase is an Equal Opportunity Employer and Affirmative Action employer, M/F/D/V

Relationship Banker, JPMorgan Chase - Manhattan Beach

Relationship Banker - Manhattan Beach Blvd - Manhattan Beach, CA-130070596

 Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our bankers build relationships with customers by providing them with products and services to meet their ever-changing needs.

The Relationship Banker is a branch based customer facing position whose primary goal is to acquire, retain, deepen and manage relationships with our customers.  Relationship Bankers are responsible for generating growth in balances through the sale, marketing, promotion and referral of products utilizing a proactive and disciplined approach.  You will take a lead role in creating an outstanding customer experience and helping the Branch meet sales objectives contributing to the success of the firm.  As a Relationship Banker, you will have an assigned portfolio of customers and proactively meet with them - face to face and over the phone - to discover their financial needs and provide product and service recommendations.  In this role you will also continue to develop and cultivate your existing customer relationships. You will also partner with specialists (such as Loan Officers, Business Bankers, and Financial Advisors), to ensure our customers get access to experts who can help them with specialized financial needs

If you are interested in building a career at Chase, there are plenty of career development opportunities available.  Many successful Relationship Bankers develop skills to move into roles such as Branch Managers, Assistant Branch Manager Sales, Relationship Managers, Mortgage Officers and Financial Advisors - or other career paths.

As a reminder, this position will require / requires National Mortgage Licensing System and Registry (NMLS) registration under the terms of the Safe Act of 2008.   As such, upon active employment with JP Morgan Chase, you will be required to either register via the NMLS registry or re-register and move your previous registration to JP Morgan Chase's registration rolls. Your continued employment in this position with JP Morgan Chase is contingent upon successful registration immediately after your start date and annual re-registration thereafter.   In addition, information obtained during the registration process may impact your employment with the firm. 
  • College degree preferred or High school degree/GED or foreign equivalent
  • Minimum of one year Branch Sales Experience or equivalent Financial Services Sales experience with proven success in establishing new clients, revenue generation, and the ability to deliver results.
  • Series 6/7, state registration (including 63 if required), and life licenses REQUIRED.  If unlicensed, must be obtained within 90 days of joining Chase
  • Ability to establish credibility and rapport, be friendly and personable and look for ways to benefit the customer's financial relationship both over the phone as well as in person.
  • Excellent customer contact skills; comfortable asking questions/interviewing customers about their financial situation; strong listening skills comfortable making outbound calls
  • Understands how to present features, and benefits of products and services to customers with differing needs
  • Self motivated, assertive, performs well in a competitive sales environment
  • Professional, thorough and organized; able to follow standard operating policies and procedures
  • Ability to learn products, services and procedures quickly and accurately; explain concepts clearly to customers
  • Understand how to interpret numbers, trends and data to make effective decisions
  • Ability to work branch hours, including weekends and some evenings
JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V
US-CA-Manhattan Beach-WM1492 Manhattan Beach Blvd / 42369

Wednesday, August 7, 2013

Compliance Manager - Rhode Island

Compliance Manager - Rhode Island
Title:  Compliance Manager (858-002-111)
Location:  Rhode Island
Compensation:  Commensurate with experience + benefits
This is a position in an investment advisory firm for a motivated compliance/operations professional experienced in compliance and operations. This person will handle all aspects of the compliance program on a day-to-day basis. The position reports to the Chief Compliance Officer. Our client is an Investment Adviser registered with the United States Securities and Exchange Commission and currently advises on more than $4 billion in assets.
  • Handle all compliance testing, supervision and oversight, e.g. performance dispersion, adherence to client strategy, client suitability, best execution/trade cost analysis, personal trading, soft dollars, proxy voting
  • Review and revise compliance policies and procedures
  • Track and research trade errors and maintain error log and files
  • Review set-up of new accounts in Axys and Moxy to ensure compliance with client restrictions and operational requirements
  • Handle regulatory filings, such as ADV and Rule 13
  • Other account tracking and monitoring, such as tracking frozen accounts and wash-sale restrictions
  • Review advertising/marketing materials
  • Conduct annual audit in accordance with Rule 206(4)-7
  • Handle and track client complaints
  • Liase with mutual fund service providers
  • Primary oversight of Code of Ethics compliance
  • Oversee compliance training for staff
  • 4-year college degree required, preferably in a business or finance discipline
  • Advanced degree preferred
  • Series 24 preferred
  • Minimum of 5 years of relevant Financial Services industry experience
  • Candidate must have experience with investment advisory compliance
  • Knowledge of the Investment Advisors Act
  • Microsoft Office, Advent Axys and Moxy (preferred), APL (preferred)
  • Smarsh and Financial Tracking (preferred)
If you are interested in this opening, please email your resume as an MS Word attachment to:
Jordan Striggow
BCI - Financial Services Recruiting

Friday, August 2, 2013

VP/Director, Fixed Income Derivs - Los Angeles

VP/Director, Fixed Income Derivs - Los Angeles

Looking for someone with a solid background in Fixed Income Derivs for a Portfolio position with a top-tier institutional manager in LA at the VP/Director level.

Please send interest to for forwarding to the headhunter.  Inquiries will be kept confidential by cfaocjobs.