Thursday, February 25, 2016

Compliance Specialist, Affinity Inv Adv – Irvine, CA

Compliance Specialist, Affinity Investment Advisors – Irvine, CA

Affinity Investment Advisors, LLC, is an independent, registered investment advisor headquartered in Irvine, CA with offices in Connecticut and Pennsylvania.   Affinity has been managing active equity portfolios for institutional and private clients since 1992.  We are a client‐centric firm where integrity, transparency, and accountability are integral to the culture of partnership that guides our internal and external interactions.  

To support the continued growth of the firm, Affinity is looking for a Compliance Specialist to work out of their headquarters in Irvine, CA. The primary responsibility of this role is to ensure a strong compliance environment is maintained at the firm with an eye towards becoming the CCO.  The Compliance Specialist will be responsible for oversight of the firm’s compliance calendar that entail tasks such as vendor due diligence, monitoring trading restrictions, etc. S/he will interact with portfolio managers, traders, and operations daily to ensure compliance with SEC mandates for RIA’s and the firm’s policies and procedures.  The Compliance Specialist will prepare reports as necessary for daily, monthly, quarterly, and annual client and/or ad‐hoc auditing requirements. The ideal candidate must possess excellent analytical, ethical, and judgment skills and be results‐oriented while working in a fast‐paced, team environment.  You will be fully engaged and busy from the first day and we guarantee there will never be a dull moment.

Primary Accountabilities:
  •  Conduct day to day operation of the firm’s compliance program and identify potential conflicts
  •  Ensure proper daily, monthly, quarterly and annual reporting to clients and custodians
  •  Carry out periodic testing to assess compliance and operational risks, develop and manage
  • associated controls to ensure compliance with the firms’ written supervisory procedures and
  • compliance manual including the Code of Ethics
  •  Coordinate/collaborate with other business units such as portfolio management, trading,
  • operations, human resources, communications, and information technology on regulatory
  • compliance matters
  •  Receive, investigate and respond promptly and effectively to compliance‐related queries
  •  Maintain Business Continuity/ Disaster Recovery Plans to ensure they are accurate and relevant
  •  Periodically review and update the firm’s Code of Ethics program as it pertains to SEC fraud
  • prevention in conjunction with Human Resources to ensure continuing applicability and
  • relevance in providing guidance to management and employees
  •  Other duties as assigned by Executive Management relevant to compliance oversight
Qualifications
Education/Experience:
  •  Min 5 years of experience in compliance, legal or similar work experience in the financial
  • services industry
  •  Working knowledge of the SEC’s mandates for registered investment advisors
  •  Bachelor’s Degree required 
  •  Previous experience in  trading/portfolio administration a plus
  •  Experience in a professional environment desired
  • The successful candidate will have a proven track record of demonstrating the following competencies
  • critical to this role (i.e. Desired Qualities):
  •  High integrity, ethics, and strong values
  •  Able to succeed in a deadline‐driven role
  •  Adept to analyze and make effective, compliance‐centric recommendations to business leads
  • and executive management 
  •  Strong presentation and written communication skills 
  •  Excels in an entrepreneurial, dynamic environment
Salary and Benefits
Salary will be based on skills and experience.   We offer attractive, competitive compensation and benefits based on industry standards including medical, paid vacation, 401(k) and potential for bonus participation.  
Qualified and interested candidate should send a resume and cover letter in either Word or PDF format to careers@aiallc.com. No phone calls please.

Wednesday, February 24, 2016

Client Services Associate – Los Angeles

Client Services Associate – Los Angeles
 
Responsibilities Include: support the client services initiatives of the firm, assist in the development and preparation of marketing materials to support client service and marketing efforts.
 
Bachelor’s degree, experience in investor services or related field (financial services/fund administration, corporate communications, portfolio management, or securities analysis).
 
Strong MS Office experience including PowerPoint, Excel, and Word.
 
Interested candidates, please send resume to jobs@westcoastfinancialjobs.com
 
 
 

Tuesday, February 9, 2016

Financial Analyst, Apriem Advisors – Irvine, CA

Financial Analyst, Apriem Advisors – Irvine, CA

Apriem Advisors, is a California corporation duly registered as an investment advisor, whose principal office is located in Irvine, CA. We are a client‐centric firm that upholds the highest degree of service, integrity and aptitude. We’ve carefully selected a team that embraces these goals and serves clients to reach their highest aspirations. Apriem Advisors has been a trusted partner for institutional and private clients since 1998. With the growth of our company, Apriem is dedicated to increase the operational and back‐office support team. One, we’re searching for a savvy, conscientious Financial Analyst. The ideal candidate must possess excellent organizational skills and be task‐oriented while working in a fast‐paced, team environment. You will be fully engaged and busy from the first day onward.

Job Summary
The Financial Analyst is a key member of the Investment Team. S/he would interact with Executives, Portfolio Managers (PMs), Wealth Managers (WMs), custodians and clients on a daily basis to ensure client portfolios are accurately maintained on the firm’s trading and operational systems. Down the road, this position could evolve to include trading client portfolios under the supervision of the PMs. At Apriem, the Financial Analyst position can be an excellent stepping‐stone towards many other career paths at the firm including Portfolio Management, Wealth Management, Compliance, and/or Operations.

Primary Responsibilities
·    Reconcile client positions and transactions daily (Tamarac Rebalancer)
·    Create, review, and revise client Investment Policy
·    Assist in creating Implementation Plans for new clients
·    Assist in the review and reporting of client accounts (daily, monthly & quarterly)
·    Generate and compile research reports for PMs to enable well‐informed and effective investment strategies
·    Compile reports for executives, WMs, and clients, as needed
·    Create Factsheets for our proprietary investment strategies (monthly & quarterly)
·    Manage client proxy voting activity (Broadridge & Egan Jones)
·    Work with the Compliance team on SEC filings such as 13F
·    Help maintain third party databases such as Portfolio Center/Citrix, Tamarac Rebalancer and Advisor View
·    Keep the firm’s website content up to date (blogs, articles)
·    Create the firm’s Newsletter (quarterly)
·    Support marketing special projects as needed

Qualifications
Education/Experience:
·    Bachelor’s Degree required, Financial emphasis preferred
·    1 to 3 years of experience is a plus
·    Proficiency in Excel is a must. Proficiency in Microsoft Office Programs such as Publisher & PowerPoint a plus.
Desired Qualities:
·    High integrity, ethics, and strong values
·    Ideal candidate would describe them self as detail‐oriented, meticulous, and flexible
·    Able to succeed in a deadline‐driven role in an entrepreneurial, dynamic environment
·    Excellent communication and organizational skills

Salary and Benefits
Salary will be based on skills and experience. We offer attractive, competitive compensation and benefits based on industry standards including medical, paid vacation, retirement plan, and potential for bonus participation.

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