Operations Manager- West Los Angeles
We seek a bright, motivated, team-oriented professional to join our team. The Operations Manager will manage the operations team and department of a growing investment advisory firm.
Manage a team of 8 located in the Los Angeles and Newport Beach offices, recruit, train, monitor and evaluate performance of team members, actively coach and develop the team and encourage creativity in support of company objectives, supervise all functions in the department including opening new accounts, account administration, reconciliation, trade settlements, preparation and delivery of client reports, proxy administration and document management, take a lead role in the successful migration to new accounting and OMS systems. Bachelor’s degree, minimum of 8-10 years of investment operations experience in equities and fixed income securities, tested and proven management skills. Working knowledge of Salesforce, Charles River Development and Advent products such as APX, Moxy, Geneva, Dataport and SS&C’s RECON, advanced knowledge of Microsoft Excel and Access preferred.
Analyst – Costa Mesa
We seek an experienced, intellectually curious, motivated, analytical, detail-oriented candidate with an entrepreneurial spirit to join a Wealth Management Firm serving the high net worth marketplace. The Analyst will work in a fast paced environment and will be exposed to all areas of the business. There is great opportunity for growth from this position. Duties may include, but are not limited to: analyzing prospects’ investments to understand risk exposures, asset allocations, holdings, performance and expenses. Participating in the development of recommendations for the prospect. Maintaining the firm’s asset allocation models, providing due diligence and oversight on investment managers and strategies, assisting with trading and trade reconciliation. Bachelor’s degree, preferably with a major in Finance, Business Administration or Accounting. Minimum of 2 years of experience with a financial firm.
Accurate and detail-oriented, ability to manage multiple time critical projects, excellent verbal and written communication skills, advanced knowledge of Microsoft Excel, Word and PowerPoint, working knowledge of Morningstar, Schwab and Fidelity processes and technology preferred, capable of working autonomously and/or collaboratively. Great attitude, intelligence, ambition and take-control personality.
Compliance Administrator – Los Angeles
Assist with the general supervision and direction of the firm’s compliance program, with a focus on the firm’s regulatory obligations, as well as provide administration services as part of the oversight of the firm’s compliance policies and procedures. Compliance review of marketing and client reporting material, update and maintain compliance calendar, tracking client and regulatory deliverables, review and document code of ethics submissions for compliance with internal policies, documentation and administration for account onboard requirements, ability to review pre trade and overnight compliance test results, oversight and administration of firms data retention program and procedures, keep abreast of regulatory and compliance updates that affect the firms, Form ADV- Coordinate department review prior to filing annual amendment, conduct quarterly review and coordinate amendments as needed, Section 13 filing requirements - (13F, 13D and 13G), NFA/CFTC Filings – annual questionnaire, firm amendments , State Notice Filing requirements, review of mutual fund reporting requirements, administration of registration requirements in foreign jurisdictions as needed, administration of proxy voting for new accounts and ongoing vote reporting, Administration of client specific compliance checklists, administration of partnership offering documents and distribution log, administration of GIPS compliant performance composite descriptions and updates. Experience Two years’ investment industry compliance/regulatory experience desired, 4 year college degree, Microsoft Office Suite including Word, Excel, PowerPoint. Demonstrated knowledge of financial industry terminology desired.
Fund Accountant – West Los Angeles
The candidate will be responsible for all aspects of day-to-day accounting for multiple Capital Market and Private Equity Funds. Major responsibilities include, reviewing the month-end closing workbooks prepared by the administrator, monitor and review all fund related expenses and accruals, addressing client requests, preparing valuations/pricing, statement of cash flows and IRR returns, reviewing management fee and incentive/carry fee calculations, reviewing financial statements, planning and executing capital calls and distributions, set up new funds and Separately Managed accounts, assist the administrator with proper posting of investment related activity, and work on ad-hoc and year-end projects. The candidate will serve as a liaison between Accounting team, Portfolio teams, Custodians, Administrators, Auditors, and Third-party vendors. 5+ years of related experience in asset management/fund accounting, Bachelor’s degree in accounting.
Client Services Associate – West 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 such as pitchbooks, executive summaries, investor reports and RFPs, assist in preparation for investor and prospective investor meetings, maintain the firm’s CRM database, act as first point of contact for clients and prospective clients and respond to investor inquiries, provide exceptional customer service to clients and prospective clients, assist with investor subscription activity in accordance with the fund’s offering documents, maintain distribution information for various forms and materials, work with internal groups such as accounting, operations, legal and compliance as needed, various administrative tasks such as answering phone calls and preparing food orders. Bachelor’s degree, Experience in investor services or related field (financial services/fund administration, corporate communications, portfolio management, or securities analysis) and a familiarity with the workings of the capital markets. MS Office experience including PowerPoint, Excel, and Word.
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.
Interested candidates, please send resume to jobs@westcoastfinancialjobs.