Tuesday, January 31, 2017

Compliance Analyst/Mutual Funds, PIMCO - Newport Beach, CA

Compliance Analyst/Mutual Funds, PIMCO - Newport Beach, CA

Job ID #: 16099 
Functional Area:  Compliance   
Department:  L&C-Compliance-Guideline   
Position Type:  Full Time   
Education Required:  Bachelors Degree   
Experience Required:  Not Indicated   
Relocation Provided:  Yes  

          

A Portfolio Compliance Analyst is responsible for reviewing client accounts to ensure compliance with applicable rules. Responsibilities include analysis of transactions and portfolio holdings with respect to mutual fund regulatory requirements and prospectus guidelines. Analyst researches compliance issues and participates in various ad hoc projects involving frequent interaction with clients, as well as Account and Portfolio Management. Analyst is also involved with process improvements, scenario analysis, and technology testing. Routine compliance analysis and client reporting is performed (daily/weekly/monthly/quarterly).
 
The position is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will be expected to learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. 

         

  • An undergraduate degree in Business, Finance, Economics, or Accounting is required for this role.
  • Strong MS Excel skills required; technical aptitude with Macros/Visual Basic is desirable.
  • Two+ years of compliance experience, preferably with auditing mutual funds subject to the Investment Company Act of 1940 is preferred.
  • Financial product knowledge, including fixed income, equity, ETFs, and derivatives is essential.
  • Strong analytical skills, problem solving ability, and attention to detail.
  • Effective verbal and written communication skills.
  • Ability to work independently and in a team environment. 
  • Capable of managing multiple tasks with tight deadlines.
  • Experience with Bloomberg and Business Objects, a plus. 
  • CFA or MBA designation, or active status in such program, is helpful.
  • Score of 90% or better on the Compliance Assessment and MS Excel test.
 
PERSONAL CHARACTERISTICS
  • Have a strong sense of honesty and integrity.
  • Maintain a professional demeanor in both routine and highly charged environments; adapt responses appropriately to unique situations.
  • Flourish in a challenging, fast-paced, professional environment with the ability to shift priorities as business needs dictate and operate with a sense of urgency.
  • Maintain a strong commitment to quality and ensure that the work product is delivered complete, accurate, and on time.
  • Desire to take initiative and contribute to the department and the organization, promoting a positive attitude and displaying a sense of teamwork.
We are 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.
 
To Apply: 

Monday, January 30, 2017

Wealth Manager, BizDev/Relationship Mgr - San Francisco, CA

Wealth Manager - Business Development / Relationship Manager (1166-1) - San Francisco, CA
Compensation commensurate with experience (salary + commission + bonus + benefits)

Rapidly growing Registered Investment Advisor serving high-net worth individuals/executives/business owners/retirees seeks a goal-oriented, dedicated, competitive wealth management business development/relationship manager. We recognize some people are natural rainmaker/closers and some are natural relationship nurturers; either can be successful in this role and we are open to either type of profile.

RESPONSIBILITIES:
Build long term client relationships through white glove service and consultative sales process
Retain long term clients by providing continuous communication, intelligent advice and suitable investment recommendations
Manage existing client base by focusing on deepening the relationships and increasing referrals
Provide feedback and ideas that contribute to growth of the firm and maintain high client retention
Mentor junior wealth managers

REQUIREMENTS:
Minimum of 4-5 years’ experience working with high net worth individuals in a wealth management setting; boutique experience preferred
Demonstrated success in consultative sales resulting in new client relationships
CFP or willing to gain these credentials within 1 year
Series 7 and Series 66 or Series 65 (Must have the 65, 66 or be a CFA)
Portable book of relationships/clients not required but a strong plus

If you are interested in this opening, please email your resume as an MS Word attachment to Maura Bilek, BCI - Financial Services Recruiting, maura@brokerageconsultants.com

PM, Emerging Mkts Small Cap Equity - Los Angeles, CA

Portfolio Manager, Emerging Markets Small Cap Equity - Los Angeles, CA  
Full-time $90k - $130k
We are a boutique investment firm, providing investment management and wealth advisory solutions to institutions, financial intermediaries, and high-net-worth individuals. We build high-conviction portfolios of quality companies. We employ rigorous research and have a long-term focus. We are located in Century City, CA. within minutes of the Century City shopping center and just miles away from the Venice and Santa Monica beaches.
Top Reasons to Work with Us
- Competitive Base Salary
- Outstanding Bonus package
- Strong Benefit Plan
- Great Work Life Balance
What You Will Be Doing
- Manage a portfolio of emerging markets small cap equity in a manner that is consistent with the process and is in accordance with strategy, client and regulatory requirements.
- Demonstrate mastery of the investment strategies and tactics that impact the direct management of portfolios. Produces consistent performance over time which outperforms agreed upon client benchmarks, peer group and consultant universes (MSCI Emerging Markets).
- Review portfolio returns and performance attribution on a scheduled basis.
- Visit companies, call management and maintain dialogue with existing portfolio holdings. Manage portfolio within the risk constraints and parameters specified by the strategy.
- Prepare quality reports on investments and present and discuss investment ideas with other team members.
- Prepares and presents portfolio reviews to senior management, clients and potential new clients.
- Play a substantial marketing role in representing the firm at individual client presentations. Assist in preparation of presentation materials.
- Encourage and reward a culture that values mutual respect, meritocracy, open communication and promotes opportunity for initiative and growth both within and outside traditional organizational boundaries.
What You Need for this Position
More Than 5 Years of experience and knowledge of:
- CFA
- 5+ years of Emerging Market Analytical Experience
- Portfolio Manager
- MSCI Emerging Markets
- Research Quantitative and Analytical
- Business Models and Financial Models
- Investment Reports
So, if you are a Portfolio Manager with Emerging Markets Small Cap Equity experience, please apply today!
Applicants must be authorized to work in the U.S.
Preferred Skills
CFA 5+ years of Emerging Market Analytical Experience Portfolio Manager MSCI Emerging Markets Research Quantitative and Analytical Business Models and Financial Models Investment Reports
Chris Gieske is recruiting for this position: Chris.Gieske@CyberCoders.com

Thursday, January 26, 2017

IT Portfolio and Service Management / Contract - Irvine, CA

IT Portfolio and Service Management / Contract - Irvine, CA
Description
A well-established privately held client located in Irvine has an immediate need for a IT Portfolio and Service Management Consultant to join their dynamic team as a 6 month contract assignment with option to hire opportunity. The Consultant will report to the Vice President of IT Portfolio and Service Delivery and will participate in the improvement capabilities across the IT organization and focus on service delivery projects, customer satisfaction, and evolving the IT organization’s skills and capabilities. The successful candidate needs to have broader experience than just project management and needs to have prior experience with portfolio breadth and depth.The candidate need to have 3 to 5 years of Big 4 or top tier Consulting experience with strong project/portfolio management and the ability to influence others.
The successful candidate is relationship oriented with strong interpersonal, presentation and influencing skills and comes from a top tier consulting firm.
Strong written and oral communication skills with strong executive presence and ability to interact with Directors and Vice Presidents comfortably
Act as an extension of VP, to help with customer satisfaction surveys and process, QA process, tools and methodology, help coach team members using tools, process and methodology
Needs to have strong Project or Portfolio Management experience with Service
 
A full opportunity description is available from Shiree Wilson, Recruiting Manager at M.E. Weaver & Associates, swilson@mewa-llc.com