Tuesday, September 27, 2016

WIM Investment Management Development Program, Wells Fargo - Long Beach, Vegas, Austin

WIM Investment Management Development Program, Wells Fargo - Long Beach, Vegas, Austin

Wells Fargo will accept applications for the 2017 WIM Investment Management Development Program on October 17th, 2016

This will be a 1-day only posting. 

We have 4 seats avilable located in (2) Long Beach,CA; (1) Las Vegas, NV; (1) Austin, TX. Please share this job oppertunity with your respective chapter body.
To apply to the position, please visit our web-site at https://www.wellsfargo.com/careers/.  If you do not currently have a Wells Fargo profile you will need to register and create a “searchable” profile.  I have listed the instructions below on how to set up a profile.  Once a profile is created, you can search for the position.  In the “Job Opening ID” search field please type in the Job ID #5277234. You can also search by keywords “2017 Investment Management Development Program”.  Once the job comes up, click “Apply Now”. 
Program Eligibility Graduation
Date Range
Posting Dates/Information
Investment Management Development Program (IMDP)
24 month development program for new business and revenue generation to increase their investment acumen, hone their professional presence, learn how to identify and pursue new business opportunities and ultimately begin to manage investment accounts. The goal is to have the incumbent transition to an Investment Manager if their job performance supports the move.
A Masters of Business Administration (MBA) or Chartered Financial Analyst (CFA) Designation.
·          The position will be posted through the WellsFargo/Careers website on Oct 17th, 2016
·          The Job ID number will be # 5277234
·          4 seats available (Long Beach, Las Vegas, Austin)
Job Posting Date:  October 17, 2016 Only
  • The position will be posted through https://www.wellsfargo.com/careers/
  • The Job Opening ID number will be #5277234
  • This is the only time the requisition will be posted so it is very important that you apply before 11:59 PM CST on October 17th. 
Create/Update Profile on Wells Fargo Careers site:
To create a new profile on our Careers site, follow the steps below.  If you have already created a profile, please ensure your information and resume are up-to-date.
  1. Go to the Wells Fargo Careers home page at https://www.wellsfargo.com/careers/
  2. Click on ‘Search Jobs’
  3. Click on ‘Search Jobs Now’
  4. If you have not already created a "searchable" profile, select  New Job Seekers - Register Now’ to begin creating your "searchable" profile.
  5. Enter your email address and create a password then click ‘Register’.
  6. Complete your profile and click on ‘Submit Profile’ at the end.
Create a Job Agent:      Create a Job Agent to notify you when IMDP positions are posted.  You will be sent an email the day they open.  Instructions are attached.
Email:     Adding @wellsfargo.com to your approved senders list will prevent further communications from going directly to your junk/spam folder.
  • 2017 Investment Management Development Program
  • Job Agent Instructions
To learn more about Wells Fargo perspectives, please visit Wells Fargo Blogs and Wells Fargo Stories.

Friday, September 23, 2016

Private Client Associate - Los Angeles


Asset Manager seeks Associate to work as part of a team with several Financial Advisors.

Degree from a highly competitive university and relevant industry experience required.

Required: analytical, written/oral communication, organizational, computer.

Responsible for all aspects of client servicing, portfolio analysis, research, account creation, maintenance and reconciliation. Series 7 preferred. 

  Please send resume to jobs@westcoastfinancialjobs.com

Monday, September 19, 2016

Investment Assoc, San Manuel Indians - Highland, CA

Investment Associate, San Manuel Band of Mission Indians  - Highland, California

Highland, California
Under the administrative and technical direction of the Director of Investments, the Investment Associate performs analytical tasks on behalf of the San Manuel Band of Mission Indians investment portfolios and assists in analyzing investment manager portfolios. 
The work involves assisting in the administration and analysis of investment portfolios managed by external investment managers. The work also includes activities such as developing and maintaining the investment risk management monitoring program, analyzing investment manager strategy and portfolio results, assisting in the ongoing monitoring of managers, and performing asset allocation studies.  The Investment Associate is the primary party responsible for data collection, management and analysis for the total portfolio, underlying investment managers, and general market research.
Essential Duties & Responsibilities
  • Helps conduct asset allocation studies. Collects data and information from Bloomberg and investment managers to develop expected return and risk forecasts for the portfolio and managers.
  • Assists in monitoring capital markets and maintaining knowledge of current market trends and practices.
  • Aggregates information from managers on outlook for asset classes and investment themes.
  • Analyzes risk factor exposures for portfolio and managers.
  • Assists in monitoring external asset managers for investment performance and research.
  • Statistically compare investment managers against one another on various metrics.
  • Assist in the research and analytics for quarterly Investment Strategies Update newsletter.
  • Develop templates in excel that can improve and enhance Investment Staff’s understanding of investment managers exposures and attribution.
  • Run regressions and return analysis on managers in excel.
  • Participates in quarterly calls with current and prospective investment managers.
  • Prepare manager analysis for monthly Board meetings.
  • Security-level analysis to assist Staff when interacting with investment managers.
  • Potential to write post-meeting analysis on managers for team distribution.
  • Assists in analyzing and implementing investment analytic systems and makes recommendations for workflow and reporting improvements.
  • Manage our portfolio oversight and risk management system called Caissa.
  • Create customized templates and output for internal and committee reports.
  • Work with investment managers to ensure high quality data is reported to our risk systems.
  • Assists in monitoring external asset managers for contract compliance, investment performance, and conformance with fiduciary standards.
  • Monitors managers’ balances and disbursements, performance fee calculations and reconciliations with the Master Custodian.
  • Processes various investment and legal documents, monitors the process through to completion, and distributes the completed documents to the appropriate parties (this includes subscription and related docs, wire direction letters, additional subscription/redemption forms, etc.).
  • Performs monthly investment manager performance and asset reconciliations.
  • Acts as liaison between custodian banks, investment management firms and the brokerage community.
  • Prepares the quarterly performance report and supporting schedules.
  • Performs specialized research in various areas of corporate governance, manager and regulatory compliance, and prepares detailed reports and analysis.
  • Reviews and summarizes relevant investment manager agreements and related documents for compliance and reporting requirements.
  • Develops and enhances internal compliance monitoring policies and procedures.
  • Monitor our CRM system to ensure high quality information and research is up-to-date.
  • Prepares and maintains spreadsheets/databases (manager register, compliance spreadsheets, etc.).
  • Ad hoc research and analytical projects as determined by the CIO and Director of Investments.
  • General statistical and analytical work to make the team progressively best in class in portfolio management.
  • High school diploma required.
  • Bachelor’s degree in mathematics, statistics, economics or accounting preferred. Equivalent combination of education and progressive, relevant and direct experience may be considered in lieu of Bachelor’s degree.
  • Enrollment in or completion of the CFA or CAIA programs or the completion of the Fundamentals of Alternative Investments Certificate Program.
  • High level proficiency in Microsoft Excel required, with Word and PowerPoint preferred.
  • Ability to work in a time-sensitive environment, be proactive, and able to handle confidential material a must.
  • Strong attention to detail required.
  • Strong research and problem solving skills essential.
  • Proficient in handling multiple tasks simultaneously.
  • Effective written and oral communications beneficial.
  • Enrollment in the CFA or CAIA programs desirable.
  • Must undergo and successfully pass a thorough pre-employment background investigation including criminal, credit, education, verification of work history and professional references.
 Physical Requirements/ Working Conditions – Environment
The physical demands and working environment described here are representative of those that an employee encounters and must be met by an employee to successfully perform the essential functions of this job. 
  • Primary work environment is in a climate-controlled office setting.
  • Must be able to work in a fast paced, high demand environment.
  • Must be able to work on a computer for extensive amounts of time on a daily basis.
  • Hearing sufficient to hear conversational levels in person and over the telephone.
  • Speech sufficient to make oneself heard and understood in person, in front of groups, in meetings, and over the telephone.
  • Visual acuity to determine the accuracy, neatness, and thoroughness of the work assigned, or to make general observations of facilities, guests and employees.
  • Strength sufficient to frequently lift and/or move up to 10 pounds below or at waist level and occasionally lift; move or carry objects over 40 pounds below and at waist level with assistance.
  • Mobility sufficient to safely move in an office environment; walk, stoop, bend, kneel, enter and exit.
  • Endurance sufficient to maintain efficiency throughout the entire work shift and during extended work hours.
San Manuel Band of Mission Indians and San Manuel Indian Bingo & Casino will make reasonable accommodations in compliance with the Americans with Disabilities Act of 1990.
All applications must be completed through the San Manuel website at the link below.  INVESTMENT ASSOCIATEhttps://jobs.jobvite.com/sanmanuel/job/otUV3fw5

Tuesday, September 13, 2016

Investment Analyst, Anfield Cap Mgt - Newport Beach

Investment Analyst, Anfield Capital Management, LLC - Newport Beach
Anfield Capital Management, LLC (“Anfield”) is seeking a full-time Investment Analyst.  The Investment Analyst serves a unique and dynamic role that is based around the core responsibility of working with the Portfolio Management team. The Investment Analyst role is a professional career track toward the most senior positions in the firm, and while an MBA and/or CFA (Chartered Financial Analyst) is not required, it is expected that the successful candidate will want to pursue higher degrees and designations as part of their career development.
The primary responsibility of the Investment Analyst is gathering, analyzing, and discussing economic and a broad range of asset market trends, evaluating portfolio structures and strategies, and delivering performance attribution analyses.  The secondary responsibilities are generalist in nature and will involve working with the firm’s client service, business development and executive functions to build Anfield Capital.  The role is entry level to moderate experience.  Salary is commensurate with experience and competitive with the market. 
Over time the role will expand to include activities such as analyze, and discuss market trends and data with colleagues and clients. Analyze portfolio characteristics in the context of broader investment themes. Evaluate risk reports, perform attribution research and conduct scenario analysis. Create customized client reports and respond to ad-hoc inquiries. Draft internal presentations and prepare client-servicing materials. Summarize and explain complex financial and economic concepts to educate clients.
Demonstrated proficiency with: 
  • Microsoft Excel and strong knowledge of software applications in general, including but not limited to databases, query tools and trading platforms (e.g., Bloomberg)
  • Self-starter, ability to produce high quality and accurate work within the firms demanding and highly focused environment
  • Outstanding relationship building skills
  • Ability to clearly articulate analysis, written and verbally
  • Knowledge of asset allocation, equity, and fixed income securities and portfolio management techniques
  • Work effectively with all levels of personnel as part of a team.
  • Excellent time management, multi-tasking, organization and communication skills.

Must possess a four-year college degree with a preferred major in Business/Finance, Economics, or Accounting.
Ideal candidates should have 1-3 years of experience in financial services, asset management, investment banking or accounting.  However, we are open to candidates with no prior related work experience.  A strong background and/or interest in economics, investment markets, investment analysis, asset allocation, and portfolio management is preferred.

All interested and qualified candidates should forward their resumes to:
Mark W, Okey, Esq.
C/O Anfield Capital Management, LLC.
4695 MacArthur Court, Suite 430
Newport Beach, CA  92660

Anfield is an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.
About Anfield Capital Management.
Since 2009 Anfield has a proven track record of success in Portfolio Management and Client Service, with over $290M assets under management.  Anfield is comprised of a team of highly experienced senior executives from top-tier firms, including PIMCO, Bear Stearns, Jeffries & Co. and Salomon Asset Management. The team has worked together for over 10 years and has over 100 years of combined experience managing billions in client assets.  Anfield serves as the advisor to the Anfield Universal Fixed Income Fund (“AFLIX,” 4 star rated by Morningstar) and is responsible for the Fund’s investment portfolio according to its investment objectives and policies. Anfield Capital Management, LLC is a registered investment advisor.



Tuesday, September 6, 2016

Equity Research Intern, ROTH – Newport Beach

Equity Research Intern, ROTH Capital Partners – Newport Beach, CA

Sector: Cleantech

We seek a recent graduate to join our team as an Equity Research Intern. The internship has the potential for a full-time position. Our Cleantech practice primarily focuses on the solar industry with some exposure to other sectors such as renewable power generation in general, energy efficiency, energy storage, among others.

Application Requirements
• Ability to work 30 hours per week.
• Fluent in Mandarin Chinese.
• Must be a recent graduate and out of school.

Job Description
• Sell-side equity research at a boutique investment bank.
• Maintain market intelligence system and provide ongoing monitoring of the Cleantech industry.
• Examine market data to identify and analyze current and industry trends and provide ongoing findings.
• Assist with preparation of research reports and notes on companies for distribution to institutional clients.
• Conduct primary research, surveys, and interviews.
• Develop financial models and conduct financial statement analysis to evaluate historical information and
generate earnings forecasts.
• 30 hours per week at minimum wage.

• Bachelor degree.
• Superior quantitative, analytical, and writing skills.
• Capacity to quickly digest and synthesize substantial volumes of information in a short period of time.
• Detail-oriented.
• Excellent communication skills.
• Strong work ethic and intellectual curiosity.
• Good organizational and time management skills.
• Entrepreneurial spirit and ability to work on a small team.

This position is available immediately. If interested, please send a cover letter and resume to Justin Clare, jclare@roth.com

Thursday, September 1, 2016

Sr Financial Adv, VP, UnionBanc Inv - L.A. area

Sr Financial Advisor, Vice President UnionBanc Investment Services - Westwood, Brentwood & Century City, California

UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals.

Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements. 
Job Summary:   Responsible for the advising, selling and servicing of UnionBanc Investment Services products and services.
Major Responsibilities:    Responsible for the advising and servicing of UnionBanc Investment Services products to internal and external prospects of the bank. These activities include: Profiles clients by obtaining financial information and suitability information. Advises on the customized investment needs. Assesses client investment needs and goals, reviews existing investment portfolios /allocations and develops plan to meet the client needs. Advices to customers on a wide range of comprehensive investment products that include stocks, bonds, options, mutual funds, securities, annuities, insurance products, etc. Interprets financials market information on pricing, PE information, volume trends, etc and other updates. Follow ups with client contact to close the sales. Requires extensive financial analysis review of the client's financial statements and assessment of suitability of investment products. Responsible for new sales generation thru referral activities. Maintains existing relationship with clients in order to manage future investment needs. Conducts marketing campaigns and business development functions, such as seminars and client appreciation events. Responsible for expanding customer relationships. Works with assigned branches to enhance the overall banking relations and Bank wide products offered to customers Responsible for all administrative compliance activities. - Completes and maintains all required paperwork associated with the sales and maintenance of client accounts. This includes suitability update forms, account applications, acknowledgement forms, and any other required compliance paperwork depending on business done. All sales must be documented and paperwork provided must be able to support all recommendations and suitability requirements. Paperwork must be sent in for master files and individual files must be maintained at the branches for auditing purposes and follow-up. Each branch office must office be maintained by reps to satisfy regulatory requirements. Working space and literature must adhere to compliance requirements and be kept updated accordingly.
Additional Information:
Requires FINRA Series 7, 6 or 63 and CA Life & AD&D Insurance Licenses.  Generally requires a minimum of 5  years of proven investment sales rs of proven investment sales experience. Requires the ability to maintain a book of clients. Requires developed verbal and written communications and interpersonal skills. Must show success in soliciting new relationships and customers.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category. 
Job: Sales
Other Locations: FEB 2, 2016, 9:46:29 AM
Shift: Day
Schedule: Full Time

Technology Risk Mgt, VP - Mitsubishi UFJ Fin - San Francisco

Technology Risk Management, Control Officer, Vice President - Mitsubishi UFJ Financial Group, Inc. - San Francisco

 Join a financial group that’s as committed to your future as you are. At MUFG, we share a vision for our future, we share our successes, and we strive to bring out the best in each other in everything we do. Our 14,000 diverse colleagues are connected by a common ambition to create change for the better—from forging more dynamic career paths, to driving progress in our communities, to continuously reshaping the standards of global financial services. Positive impact starts here; see the change you can make as we strive to become the world’s most trusted financial group.
Job Summary
Technology Risk Management Control Officer will serve as a Technology Risk SME aligned to specific operational unit and will be responsible for supporting development, implementation, and ongoing management of a First Line of Defense (FLOD) program related to assigned operational unit and enforcing policies & procedures developed to ensure compliance with regulatory obligations. The Control Officer will engage with various groups to help develop the assigned unit-specific project plan and drive the execution of the plan in line with established deadlines, and will interact with Compliance, Legal, Risk, and all other corporate groups supporting the execution of the program.  Additionally, there will be defined elements of the policies and procedures that will become the responsibilities of the Control Officer upon achieving a business as usual environment.
Major Responsibilities: 
People Management Responsibilities:
  • Train others on the Risk Control methodologies and reinforce an inherent culture of accountability and ownership for implementation and execution of controls across all levels and functions within the organization
  • Establish strong relationships with key functional stakeholders including FLOD lines of business, Risk, Compliance, and Internal Audit. Instill confidence by demonstrating credibility and expertise on control issues
  • Manage the implementation of all aspects of the technology risk function for the assigned operating unit, including implementation of processes, tools and systems to identify, assess, measure, manage, monitor and report risks
Process Responsibilities:
    • Provide supported operating unit with Risk Control SME advisory service, adopting a partnership approach, in order to minimize risk and offering solutions to mitigate and lessen the cost of risk
    • Developing and preparing reports for senior management for KRI/KPI as well as reporting project-based updates
    • Assist in the development of and manage processes to identify and evaluate operating unit’s risks as well as risk and control self-assessments
    • Manage the process for developing risk policies and procedures, risk limits, and approval authorities
    • Monitor first line of defense (FLOD) technology processes, risk control limits and tolerance thresholds
    • Perform a risk-based cycle of periodic control reviews
    • Conduct control identification reviews and document process maps and controls such as regulatory requirements and address identified process gaps
    • Implement information risk controls and technology processes in line with IRM standards
    • Test the normal execution of critical/key controls across functions and then promptly escalate exceptions
    • Prepare reports on control reviews undertaken, controls inventory maintenance, and remediation activities to relevant stakeholders
    • Monitor remediation steps and corrective action plans from control review findings to implementation
    • Work closely with second line of defense on tasks not limited to: maintain risk, threat, and controls libraries; define metrics and create management reports; manage issues, oversee corrective actions and escalate as needed; establish IRM controls and compliance programs
    • Oversee definition of technology processes, operating procedures and technical standards
    • Maintain asset inventories (information, apps, etc.) in line with first line of defense (FLOD) operating procedures
    • Other tasks as required
    • Maintain the highest level of personal integrity in all dealings thereby mitigating reputational risk to MUB
    • Stakeholder management and working across various parts of the organization
    • Communicates information risk matters to senior management
    • 5 years of financial services experience with a large financial services firm or advisory/consulting firm including experience as an internal auditor and or public accountant or compliance officer
    • Eperience specializing in technology, audit, or risk and controls
    • Knowledgeable about processes, risks and controls/controls design
    • Experience in process and controls mapping methodologies
    • Proven experience in writing policies, procedures and reports
  • Proven knowledge of information risk management metrics and reporting process / methodologies and tools
  • Knowledge of the financial services industry and its regulations / laws
  • Understanding of control and risk management concepts and knowledge of the operational aspects of the information risk business
  • Understanding of respective industry best practices (e.g., NIST, ISO, COBIT, OWASP, ITIL)
  • Knowledge of risk management policies, methods, standards, processes, governance models, and industry standard risk analysis approaches
  • Knowledge of current industry trends in information risk management       
  • Able to collaborate well with internal and external stakeholders
  • Able to enforce and communicate related policies, procedures, and guidelines
  • Able to be a subject matter expert on information risk management metrics and reporting
  • Ability to work effectively in a matrixed environment
  • Demonstrated ability to build strong professional relationships
  • Self-motivated professional with the ability to work under pressure and meet deadlines and goals
  • Strong influencing and collaboration skills
 Strong MS Office skills along with strong oral and written communication skills
Education Requirements
  • Bachelor's degree in Computer Science, Technology, or Related Fields.
  • Master’s Degree (preferred)
Preferred Certifications
Certifications: Security certification is desirable, such as Certified Information Security Management (CISM), Certified Risk Information Security Control (CRISC), or Certified Information Systems Security Professional (CISSP)
Why Work for MUFG?
We are a financially strong and stable bank.
We value workplace diversity.
We are committed to the training and development of our employees.
Innovative vacation benefits.
We offer a matching 401k, a Retirement Plan, and a variety of Flexible Health Benefits.
The above statements are intended to describe the general nature and level of work being performed. They are not intended to
be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.
To learn more about MUFG, review all current career opportunities, and apply please visit us online: www.mufg-americas.com/careers
We are committed to leveraging the diverse backgrounds, perspectives and experiences of our workforce to create opportunities for our people and our business. Equal Opportunity Employer: Minority/Female/Disability/Veteran.
Job: Systems / Technology
Other Locations: AUG 30, 2016, 8:14:07 PM
Shift: Day
Schedule: Full Time