Thursday, February 27, 2014

Commercial Relationship Manager 5, Wells Fargo - Orange, CA

Commercial Relationship Manager 5, Wells Fargo - Orange, CA

Requisition Number:   3843821
Job Description
Professional Relationship Manager position focused on generating revenue, in addition to new business relationships and the management of a complex portfolio of middle market commercial account relationships. Responsibilities include: meeting annual revenue goals by actively generating new business through prospecting and cross sell efforts; representing the bank in developing and maintaining client relationships with the most important/key clients; originating, structuring and executing the most complex commercial middle market transactions, including but not limited to, investment banking, treasury management products, commercial lending and/or non-credit related products. May provide coaching/mentoring in the development of more junior level relationship managers.
Basic Qualifications
7+ years account relationship management experience and demonstrated sales skills.
Minimum Qualifications
Demonstrated account relationship management experience; strong credit analysis; comprehensive knowledge of commercial and/or specialty group lending and loan servicing, products and credit practices, risk management, negotiating interest rates and price, terms and collateral requirements. Sustained record of achieving and exceeding sales goals, demonstrated success in sales and marketing, strong organizational, interpersonal, verbal and written communications skills.
  • Experience in analysis of market or industry financial reporting
  • Experience in financial statements, projections and financial modeling
  • Experience in cross-sell
  • Exposure in underwriting
Preferred Skills
  • A master s degree in business administration with coursework in financial accounting and corporate finance
  • Professional experience in commercial banking or related industry through internships, part-time or full-time work, and/or extra-curricular activities in analyzing financial statements and assessing companies
  • An individual who demonstrates a sense of personal accountability and urgency for achieving results
  • Knowledgeable about MSB's (money service businesses)

Wednesday, February 26, 2014

Portfolio Manager or Analyst, Gould Asset Management LLC - Claremont, CA

Portfolio Manager or Analyst, Gould Asset Management LLC - Claremont, CA

Job Description
Gould Asset Management LLC is seeking an intelligent, analytical and well-rounded individual to join our portfolio management team.  Depending on the candidate’s experience, this position will either begin as a Portfolio Manager position or as a Portfolio Analyst, progressing into a Portfolio Manager over time.  The Portfolio Manager/Analyst will work closely with our Portfolio Managers in a variety of functions, including investment research, portfolio trading and accounting, performance measurement, and client relationship management.  The Manager/Analyst will also support other departments within the firm, including sales, marketing, regulatory compliance, technology and operations. 

We are a small organization and rely on each employee to be flexible, versatile and self-guided – applicants must be comfortable working in a small group, as well as organizing and completing both short-term and long-term projects without constant supervision.  Not all assigned tasks will be directly related to portfolio management, but all will be important to the strategy and mission of the company. 

The Portfolio Manager/Analyst is a full-time, salaried position with healthcare benefits and an employer-matched 401(k) program.  New hires may be subject to a 90-day probationary period.  Applicants should submit a resume and cover letter to  No phone calls, please.

Job Requirements
§  Bachelor’s degree.  (Data such as GPA, class rank, relevant test scores helpful.)
§  Excellent oral and written communication skills.  (Writing samples preferred.)
§  Excellent quantitative reasoning, supported by coursework in mathematics, finance, economics, business or similar fields.
§  Demonstrated interest in investments and financial markets.
§  Creativity, flexibility and an entrepreneurial spirit.
§  Strong interpersonal skills and a positive attitude for cooperation and collaboration.
§  Highest ethical standards.
§  Mastery of Microsoft Office products; particularly Microsoft Excel (we administer an Excel test in our interview process).
§  Progress toward (or demonstrated interest in) obtaining the Chartered Financial Analyst (CFA) designation and/or the Certified Financial Planner (CFP) certification.
§  Portfolio Manager position requires a minimum of 2 years industry experience. Industry experience (at least 1 year) a plus, but not required, for Analyst position. 

The Company
Gould Asset Management LLC manages more than $400 million in assets for high-net-worth individuals, foundations and non-profits.  Information about our people, philosophy and investment strategies may be found at

Applicants should submit a resume and cover letter to  No phone calls, please.

Fund Controller, Alt Invs; Engaged Capital - Newport Beach

Fund Controller, Alternative Investments; Engaged Capital - Newport Beach, CA

Position Title:    Fund Controller, Alternative Investments
Location:     Newport Beach, CA

Description:    The Fund Controller will be responsible for assisting the CFO with the daily NAV calculations and reconciliations, the monthly close out of the funds’ books and records, the fund administrator report reviews, the annual audit and tax returns for the firm’s funds, and ad hoc reporting.
Primary responsibilities:
·         Maintain the daily NAV for the funds
·         Perform daily reconciliations, trade break resolution, and trade allocations
·         Calculate and monitor the performance of the fund
·         Maintain a set of parallel books and records to the fund administrator
·         Review and approve the month-end accounting records from the administrator, including trial balances, capital registers, economic allocations, expense accruals, incentive and management fees, and capital activities
·         Maintain thorough and accurate records for the funds and its investors
·         Portfolio valuation review and coordination with the fund administrator
·         Prepare annual financial statements and the timely completion of annual financial audits for all funds
·         Oversee tax compliance for the funds
·         Process fund contributions and withdrawals and related investor documentation
·         Act as a liaison with outside service providers (prime brokers, custodian, fund administrator, auditors, and tax consultants)
·         Liaise with the other areas of the firm, including trading, investor relations/marketing, and investments/research
·         Perform ad hoc requests and special projects, as necessary

Qualifications and experience:
·         Strong academic track record
·         Minimum 2-3 years of alternative investment accounting and auditing experience desired
·         Public accounting background and CPA ideal
·         Individual should have experience in financial services, preferably in alternative assets with exposure to equity strategies
·         Individual must be extremely detail oriented and able to multi-task
·         The individual must have strong drive and initiative
·         Ability to thrive in a fast paced, deadline-driven environmentTo apply, please send cover letter and resume to:

Tuesday, February 18, 2014

Research Analyst - San Diego

Research Analyst - San Diego

A San Diego-based wealth management firm is searching for a Research Analyst to join the firm in their corporate office. He/she will be responsible for assembling and reviewing data to conduct in-depth, comprehensive analysis in order to make effective, educated assessments and recommendations. This individual will also participate in the development and management of model portfolios to suit the firm’s  clientele.

It will be the responsibility of the chosen candidate to review and reconcile data gathered for quarterly and semiannual/annual client reports. Exceptional attention to detail, affinity and desire to work with technical data (numbers) is a must. Upon demonstration of understanding and mastering client reporting, increased responsibilities will be awarded. These include monitoring and working with external managers  and research providers to the firm, preparing (assist in the preparation) of client performance reports and attendance as an intelligent, thought partner at client meetings. The candidate must have strong analytical skills, written communications skills and a proven ability to interface with both clients and investment managers.

• Conduct research and selection of individual securities and investment managers that are held within the firm’s model portfolios.
• Responsible for the day-to-day servicing of client accounts and play a valuable role in the manager
research process.
• Analyze client portfolios, produce asset allocation reports, investment policy statements, and
performance reports.
• Involved in client communications and assist the client with manager transitions and operational
• Screen/research/evaluate/recommend investment ideas that meet investment objectives.
• Confirm data integrity and perform analysis to identify trends.
• Author written research reports and participate in ad hoc projects as necessary.
• Consistently study market trends and prepare assessment-based reports on the impact that economic and market conditions have on the performance of both portfolio and non-portfolio companies.

Competencies and attributes:
• 3 to 5 years of experience in an investment research role and client service/interface a plus.
• History of excellent quantitative and qualitative analytical skills and solid judgment.
• Experience working with investment-oriented database and analytical software.
• A bachelor’s degree required; MBA preferred.
• CFA designation is preferred.

Please email resumes to

Thursday, February 13, 2014

Senior Equity Portfolio Analyst 2, Wells Fargo (MetWest Capital) - Newport Beach, CA

Senior Equity Portfolio Analyst 2, Wells Fargo (MetWest Capital) - Newport Beach, CA           
(Job ID 3839983)            
Requisition Number:  3839983

Job Description
This position is within Wells Fargo Asset Management (WFAM) - Metropolitan West Capital Management (MetWest Capital). We are seeking an Equity Analyst with experience in the Technology sector.

MetWest Capital s Large-Cap and Global Intrinsic Value strategies manage approximately $11 billion in assets and have generated solid long-term track records. The firm is wholly owned by Wells Fargo and operates within Wells Capital Management s line of business. Wells Capital Management has over $300 billion assets under management and operates 25 boutique investment teams.

The team s philosophy is one of bottom-up, long-term focus, fundamental value investing. The team s analysts provide long-term analysis on the companies in their sector, and possess extensive knowledge and experience in financial statement analysis and valuation. Analysts are responsible for providing fact-based information about individual companies and industries in their sector(s) and a company s competitive position within its industry.

Additional responsibilities include, but may not be limited to:
- Identify and present long-term analysis and overviews for a particular company or industry.
- Communicate findings in written and verbal form through full reports, summary notes and both formal presentations and informal meetings.
- Team player; ability to take direction as well as pursue independent investigation.

Basic Qualifications
8+ years investment research experience.

Minimum Qualifications
Demonstrated success with stock selection and research experience. Ability to provide unique and differentiated insight for industries under coverage; independent thinker. Ability to function independently; self-starter able to hit ground running in high-impact position. Strong organizational and communications skills; team player.
- 3+ years financial analysis experience.
- Experience analyzing U.S. and international technology companies.

Preferred Skills
- Experience in buy side equity research; those with sell side research, or investment banking experience will also be considered.
- MBA degree.
- 3+ years financial analysis experience (post MBA).
- Strong written and oral communication skills.
- High personal and professional integrity with an extremely strong work ethic.
Apply on website:

Saturday, February 8, 2014

Plan Consultant, 401(k) Advisors - Aliso Viejo, CA

Plan Consultant, 401(k) Advisors - Aliso Viejo, CA

Position: Plan Consultant
Status/Salary: Exempt/Open
Location: Aliso Viejo, CA

Job Description:
This position is a highly visible position with the firm’s clients.  The position’s primary responsibility is to serve as the primary relationship manager for a block of qualified retirement plan clients.  Duties include 1) delivering investment due diligence, 2) assisting clients with understanding and meeting their fiduciary responsibilities, 3) providing ad hoc consulting to clients, 4) contributing to the monthly client newsletter, and 5) working in a team effort with entire plan consultant team to create new services/deliverables.  In some cases, this person will also be required to participate in sales meetings to serve as the day-to-day contact.  Other ad-hoc and special projects will be required from time to time.    

An important part of this client service aspect is to assure that the client understands and is happy with the investment process, reports and information provided on the client’s behalf.  In addition, this person will communicate with the firm’s internal investment and ERISA teams to discuss philosophy compliance, and client issues.  The role may also entail being involved with assisting Retirement Plan Advisory Group members answering consulting-related questions that they may have while also educating them from time to time on the core philosophies and beliefs that drive the retirement plan fiduciary processes.

The role will require that the individual stay current on industry- and investment-related vehicles, topics, and developments in the industry.  Internal training in regards to investment analytics, ERISA and the Internal Revenue Code, presenting skills, and firm positions will be provided.

This position may require some travel, depending on the time of the year, use of technology or other considerations, but the primary block of clients is expected to reside in Southern California.  Travel will primarily be comprised of client meetings, conferences, and prospect meetings.

If you are passionate about providing excellent customer service, like working with motivated, energetic, and up-beat team members, and work well in a team environment, we would welcome an opportunity to discuss this opportunity with you.  Please send resume with cover letter to


Advisor Service Associate, Retirement Plan Advisory Group - Aliso Viejo, CA

Advisor Service Associate, Retirement Plan Advisory Group - Aliso Viejo, CA
Position: Advisor Service Associate
Location: Aliso Viejo, CA

Job Description:
This is a customer service role responsible for conducting practice management assessments of our clients (who are corporate retirement consultants). Responsibilities include conducting client meetings (via phone and/or webex) where you’ll analyze their utilization of our software and then you’ll instruct them accordingly.  Your goal is to train them in using our software to effectively create reports and present them to their clientele.

Strong communication skills are a must, as the role includes building and maintaining working relationships with team members, vendors and other departments throughout the organization. Familiarity with customer service is preferred.

ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily.
  • Familiarity with corporate retirement industry terminology, products and services
  • Ability to provide instruction via phone or webex
  • Confidence to follow-up with individuals to assess their progress with utilization of the software
  • Use good judgment in assessing growth (or lack thereof) of our clients’ practices
  • Strong communication skills when working with peers, senior management, team members and vendors
  • Commitment to culture requires a demonstration of professionalism, attendance, accountability, customer/client focus, and teamwork

  • Ability to maintain a high degree of accuracy in a fast-paced environment is a must
  • Must be able to track your client progress from identifying low utilization of our software all the way through acceptable or high utilization
  • Individual must possess good analytical, problem solving, and communication skills, both verbal and written


  • Bachelor’s Degree
  • Experience working in corporate retirement industry a plus

PHYSICAL DEMAND:  The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Ability to sit at a computer for long periods of time.

WORKING CONDITIONS:  Climate controlled office environment.

NOTE:  The information on this 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.

If you are passionate about providing excellent customer service, like working with motivated, energetic, and up-beat team members, and work well in a team environment, we would welcome an opportunity to discuss this opportunity with you.  Please send resume with cover letter to

Monday, February 3, 2014

Equity Research Analyst, Deerwood – Newport Beach, CA

Equity Research Analyst, Deerwood Capital, LLC – Newport Beach, CA

Equity Research Analyst – Newport Beach, CA
Company: Deerwood Capital, LLC
Openings: 1
Salary: Base Salary + Performance Bonus

Company Profile: Deerwood Capital, LLC is an investment management firm specializing in fundamental equity value investing. We are a young company offering opportunities for long term career advancement and high levels of responsibility and autonomy.

Position Description: Deerwood Capital, LLC is looking to hire a full-time Equity Research Analyst. The Analyst will work closely with the Portfolio Manager on all phases of the investment process including sourcing, research and analysis, financial modeling, implementation, and monitoring. Primary duties are reading SEC filings, valuation of securities, general research, and back-office responsibilities.

Qualifications: Are you an avid follower of the stock market? Do you enjoy reading 10-Ks? Can you
make Excel dance? Do you think about business models? Are you willing to stand behind your own
analysis and take risks? If you answered yes to these questions, Deerwood Capital, LLC may be a great place to achieve your full potential.

Application Deadline: February 28, 2014. Applications without a write-up will not be considered.

Application Instructions: Submit a resume and original investment recommendation write-up to:
Attn: Joshua Soong

Branch Manager, Scottrade - Tustin, CA

Branch Manager, Scottrade - Tustin, CA
Job ID: 20143101-8542
Our branch network is the face of Scottrade! At Scottrade, Branch Managers have the unique responsibility of driving sales initiatives within their respective branches, providing outstanding leadership to associates and championing Scottrade’s culture of service, respect and integrity.

Branch Managers are responsible for maintaining a performance driven environment and coaching their Investment Consultants on the consultative sales process. The ability to apply the consultative sales process while providing outstanding customer service and supervision of the branch is crucial to success in this role.

At Scottrade, we strive for associate growth and enrichment in all aspects of their lives. Our management understands the importance of work/life balance and encourages associates to develop personal and professional strengths to facilitate a healthy path to success.

Manager Priorities:
* Foster a team environment in the branch through leadership opportunities as well as business development coaching and mentoring with all associates
* Use the consultative sales process to strengthen client relationships and drive value for Scottrade
* Continue the tradition of exceptional client service by partnering with Scottrade lines of business to optimize the client experience
* Partner with Scottrade Clients to provide depth and understanding regarding financial markets, trading and potential guidance solutions

* 1-3 years of experience in a managerial role preferred
* 3 years’ experience in a consultative sales environment preferred
* Bachelor’s Degree
* Active Series 7, 63 and 9/10 (or Series 24) license or ability to obtain the Series 9/10 within 90 days
* Some travel required

Get to Know Us:
Scottrade is a pioneer in the financial services industry. From our beginnings as a discount brokerage in a single office to a nationwide network of branches, for 33 years we have continuously sought to make successful investing affordable to client while providing world class service. Scottrade Brokerage encompasses a nationwide network with 503 branches, centralized support from our headquarters in Saint Louis, MO and service centers in Denver, CO.

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