Opportunities Through FPAOC
To post an open position in the financial planning profession, please submit your ad in an email as an attachment in WORD to email@example.com.
Portfolio Admin (Posted 11/12/18)
Join Apriem Advisors: We’re Hiring!
The Apriem team is growing! We are looking for an Administrative Assistant/Operations Assistant to join our team in Southern California.
At Apriem we are committed to serving our clients to the highest degree with unmatched integrity and aptitude. We are seeking a full-time support professional to assist with the day-to-day investment portfolio administration at Apriem Advisors. If this sounds like you, read the description below and contact our CIO, Benjamin Lau, to apply today.
The Portfolio Admin position is primarily responsible for working closely with the Investment Team, Wealth Managers, and Operations Team in the areas of portfolio administration, portfolio analysis, and investment research. The duties are so specialized and complex that knowledge required to perform them is associated with a bachelor’s degree or higher.Read More
The PA will be responsible for investment-based and client-based duties, among other things that may arise from a small-company setting.
- Must be proficient in Excel and PowerPoint.
- Strong organization and analytical skills.
- Working towards getting the CFA (Chartered Financial Analyst) designation.
Investment Management Duties
- Daily client portfolio administration
- manage client, securities, and model portfolio settings as well as maintain 3rd party databases such as Advisor View, Rebalancer & Citrix
- Schwab – restricted accounts, negative cash balances, residual shares, cash restrictions
- Trading execution, allocation, and reconciliation, including post-trade audits and communication of trades to the WMs.
- Investment Policy Statement creation and revision
- Implementation Plan creation
- Research report generation, assemble & review economic & market data for Investment Team
- Take minutes from investment Team meetings and due diligence meetings with Fund Managers
Investment Compliance Duties
- Run and maintain performance composites and assist in our GIPS certification
- Perform employee trades audit & Investment Policy audit
- Maintain and update Compliance logs for the Investment Team such as Trade Errors, Best Execution, Restricted Stocks, Illiquid Trades.
- Manage client proxy voting activity (Broadridge & Egan Jones)
- Assist the CCO/ACO in updating & submitting SEC forms such as 13F, ADV Part 1 & 2
- Assist the CCO/ACO in the annual review and testing of the Policies & Procedures and Code of Ethics
- Assist the CCO/ACO in updating annual Compliance Forms for employees
Clients/Wealth Managers Duties:
- Create marketing materials creation such as TI Portfolio Updates, X-Rays, Factsheets
- Prepare Prospect Pitchbook and assist in creation of client/prospect presentation materials
- Contribute articles/write-ups for our website/blog/social media
Long-Term Goals for Portfolio Admin:
The initial duties as a PA is currently includes many operational, data gathering and analysis duties. The progression of the role will be to expand duties beyond those listed:
- Communication: We are here to serve clients. Having the desire and ability to communicate with clients and the staff is crucial to our accomplishing our mission. Samples including discussing market events, recent trades, changes in allocation, investment ideas.
- Decision making: Beyond just gathering and analysis data, decision need to be made. Proving you can make profitable decisions will show your investment management ability.
- Portfolio Management: Managing a style specific strategy
Growth path includes (subject to change) Financial Analyst, Sr. Financial Analyst, VP-Portfolio Manager, CIO.
This is a full-time position with office hours from 8:00 am to 5:00 pm, Monday through Friday.
Apriem observes 10 holidays each year.
Other Employment Terms:
- Vacation: 10 days (first 2 years), 15 days (3-4 years), 23 days (5+ years)
- Sick Days: 5 days per year
- Apriem also offers family & medical leave, bereavement leave, voting leave, and jury duty/witness leave. More details can be found in our Employee handbook.
- 401(k) Retirement Plan after 12 months of employment, Apriem matches 3% of employee pay (subject to change).
- Health Insurance after 30 days of employment, Apriem pays 50% of the premium.
- Apriem offers Dental & Vision, employees pay 100% of the premium.
NO PHONE CALLS PLEASE.
Business Development Advisor (Posted 11/1/18)
Title: Business Development Advisor
Location: Newport Beach, CA
Job Description: We are currently looking for qualified candidates to join Beacon Pointe Wealth Advisors Newport Beach as a Business Development Advisor. The candidate will be responsible for developing business and new clients both organically and also through the retail branch of our custodial partner, Fidelity Investments. This position also works in conjunction with a team of wealth management professionals dedicated to servicing sophisticated high net worth individuals and their families.Read More
- Providing a best-in-class service experience to a select group of clients, wealth advisors and internal associates. This entails frequent communication with clients; both verbally and in writing.
- Developing new client relationships through contacts and networking
- Developing business through retail custodial branches (Fidelity Investments)
- Servicing and advising clients relative to their wealth management and investment needs
- Representing the firm in a positive and professional manner
- Four-year college degree (Bachelor’s degree in Finance, Business or Economics is preferred)
- CFP® or CFA designation (preferred)
- At least five years of industry experience
- Strong communication and presentation skills
- Ability to handle multiple tasks and complete in a timely manner
- Ability to work with a team, yet be a self-starter
- Proficient in Excel, PowerPoint, Outlook and CRM programs
Key attributes include excellent communication (written and verbal), organization and interpersonal skills, as well as the ability to excel in a fast-paced, team environment. We are looking for someone who is outgoing, sales-minded, self-motivated and multi-faceted to help grow our business.
Interested candidates should submit their resume to Lauren Meixel at LMeixel@beaconpointe.com.
About the Beacon Pointe Family of Companies
Beacon Pointe Wealth Advisors is a national enterprise building partnership dedicated to helping wealth managers/advisors grow their businesses throughout the country. Through shared ownership and affiliation with Beacon Pointe Advisors, one of the nation’s largest independent Registered Investment Advisors (RIAs), Beacon Pointe Wealth Advisors is able to deliver a distinctive investment approach comprised of some of the country’s leading investment managers. Beacon Pointe Advisors’ mission is to provide highly professional, comprehensive and objective investment and financial advice for both institutions and wealthy families. Beacon Pointe Advisors and Beacon Pointe Wealth Advisors have over $9.5 billion in combined assets under management (as of 3/31/16). For more information on Beacon Pointe, please visit www.beaconpointe.com.
Certified Financial Planner (Posted 9/21/18)
Get Access to a qualified pool of clients.
Own your destiny.
Seeking a certified financial Planner High Payout and Equity stake.
Stock Broker / Financial Advisor with or without an existing book of business seeking to join an Independent, SEC-Registered Investment Advisory (RIA) firm.
- CFP Must have a Series 65 and/or 63
- +7 Law Departments
- Trust & Wills
- Fresh out of school
- Law Degree
- Specialize in Trust & Will
- Pass the bar (Series 65)
- Young & Energetic
3 Years Prior Experience of Asset Gathering, Research, Analysis, and Relationship Management Series 65 & 63 (7 & Agent of Life Insurance optional); Clean U4 a Must Skilled in Microsoft Office, Excel and Adaptive to Other Proprietary Computer Programs BS/BA Degree Recommended.
Personal qualities desired:
- Sales Experience
- Exceptional Client Relationship Skills
- Hardworking, Persistent, Consistent, Entrepreneurial, Self Motivated
Who We Are:
Tamar Securities, LLC is an independent SEC-Registered Investment Advisor (RIA). TAMAR provides wealth management services on an open hybrid platform that includes either fee-based or markup transactions. TamarSecurities.com
Value Proposition – Own Your Destiny
Tamar Securities seeks to create global asset allocation models; TAF® – Index Fund of Funds, TAM® – Institutional Fund of Funds, MVS® – Individual Stock Portfolios, TAV – Total Asset Value and FIP® – Fixed Income Portfolios that focus on preservation of capital, long-term asset growth and improved performance in both rising and falling market cycles. Our hands-on investment discipline, emphasizes deeply discounted Fixed Income and Equity securities in “Super Cycles.” This discipline attempts to provide clients absolute returns, independent of the market’s strength or weakness.
Advantages financial advisors should expect:
- Lower Execution costs of Equity, Fixed Income, and Cash Management Assets.
- Access to Institutional Bid/Offer Pricings of primarily Fixed Income and Cash Management.
- Access to Institutional Mutual Funds, Independent Research Firms, Boutique Investment Managers, Hedge Funds, and Private Equity Firms.
- Access to Initial Public Offerings (IPOs).
- Assess to consolidated reporting from multiple financial institutions.
- Client asset protection above the standard SIPC coverage per client’s account.
- Cost control for clients such as no IRA custodial fees, no inactivity fees, no transfer fees, and No “Red Tape.”
Tamar Strives to offer a Bid Wanted System that includes:
- Vast Access to Institutional Bid-Wanted Inventory
- Enhanced Bid/Buy Execution
- Enhanced Bid/Sell Execution
- Enhanced Transparency
Tamar Strives to offer a Clearing System that includes:
- Enhanced Security Through Multiple Clearing Entities
- Improved Transparency
Advantages of Same-Day Allocation
- Enhanced Price Execution
- Eliminating Middle-Men
Problem: Traditional Broker/Dealer Execution Flow
Solution: Tamar Securites Turnkey Operation Platform
- Improved Price Execution
- Enhanced Research
- Improved Ongoing Investment Monitoring Improved
Please, mail a detailed resume including chronological work experience, and educational credentials to the following email address: Roberta@Tamarsecurities.com
Wealth Manager (Posted 9/21/18)
We are currently seeking a Wealth Manager who will have responsibility for managing client relationships and formulating and implementing financial planning and investment advice. Additional responsibilities include working with, training, and supervising other Financial Planning team members in delivering client services.Read More
Signature Resources, MassMutual Pacific Coast Position Available – Director of Operations
An exciting career opportunity to help lead a rapidly growing financial services firm in southern California, by providing operational excellence. Read More
We have an opening for a Director of Operations. With two main locations: Irvine and La Jolla, this position will be based in the Irvine office and may require one to two days a week in the La Jolla office. We are an established but fast-growing firm with a current headcount of approximately 130+ advisors and 12 staff.
We need a strong operations person who can manage staff, provide financial reporting and oversight, and who can manage the day to day operations of the firm. This position offers growth potential for someone who is eager to “roll up their sleeves” and get immersed in improving on current systems and processes, identify needs and weaknesses and build new systems and processes, to support growth and profitability.
Management and oversight of the various departments to include: finance, marketing, technology, new business, administration.
This role is considered critical to effective firm operations and achievement of the firm’s growth goals and is a member of the Firm Leadership Team.
All functions are accomplished either directly or via delegation to staff associates.
- Be responsible for management and oversight of the daily operations of the firm, to include: facilities management; HR and staff management; technology; new business; marketing.
- Financial management: P&L, budgeting, forecasting, sales reporting and analysis, financial modeling.
- Institute and oversee effective financial management processes and protocols to increase firm profitability.
- Collaborate with executive leadership to establish the firm’s business plan, including production, budget, retention, staffing and training targets.
- Ensure that the Firm Value Proposition is being executed properly.
- Effectively align and manage resources to support firm strategies and grow sales.
- Structure effective processes, systems and resources to support producer growth strategies.
Qualifications and Experience
- Minimum of 10 years’ experience in an operations or comptroller role
- Applied knowledge of accounting principles
- Applied knowledge of HR policies
- Strong interpersonal and communication skills
- Demonstrated management and leadership skills
- Proven ability to adapt to new industries
Please send resume to: firstname.lastname@example.org or call Tracy Fozdar at (949) 930-2014
Jr. Financial Planner (Posted 3/9/18)
The Jr. Advisor is responsible for supporting, developing and managing client relationships under the direct guidance and supervision of an Advisor or Senior Advisor. This person is comfortable interacting with clients, with an emphasis on and ability to communicate planning concepts and address client needs.Read More
- Actively support Advisor and Senior Advisor client relationships, provides proactive client service, and promotes positive client experience
- Provides investment, planning and operations support as needed to effectively support client needs
- Researches, formulates and prepares analysis and recommendations related to all areas of financial planning
- Creates and/or reviews financial planning, insurance, and investment presentations for new client and annual review meetings
- Reviews investments performance for accuracy and appropriateness, and advises Advisor or Senior Advisor of communication opportunities
- Performs annual review of client planning situations to identify planning needs and opportunities
- Supports Advisor and Senior Advisor in acquiring new client relationships
- Impeccable ability to maintain confidentiality and integrity
- Serve clients with the highest integrity and professionalism as well as maintain a strong commitment to provide quality service
Qualifications and Skills:
- CFP® or CFP® Candidate preferred
- e-Money, Junxure (CRM), Morningstar, etc. planning software experience a plus
- Excellent communication skills
- Professional appearance and demeanor
- Comfort with being a “team player” and doing whatever is needed, big or small
Competitive with experience
A.J. DiLiberto, CFP®
Financial Planner/ Wealth Advisor (Posted 2/15/18)
Warren Street Wealth Advisors is looking for an experienced financial planner/wealth advisor with a strong planning and relationship management background. If you prioritize client’s best interests first, let’s talk. By joining our true ensemble practice, you’ll be able to focus on building relationships, giving great advice, and helping clients achieve their goals. We will provide the asset management, business development, and full back office efforts to support you.Read More
At least 5 years in a client facing financial services role, preferably in financial planning or tax. You must be a strong listener, able to analyze needs, develop solutions, and present recommendations that clients will be confident executing on. Candidates must have a clean compliance history, and at minimum hold a Series 65. CFP or CPA is preferred. An existing book of business is not required for this position. However, if you have a book a business we are happy to share our firm’s strategy for this type of arrangement.
- Make the entire team and process better at Warren Street
- Lead client facing Discovery & Solutions Meetings
- Review asset allocation and advise on updates
- Analyze tax returns and make recommendations
- Educate clients on all things financial planning (6 CFP Modules)
- Mitigate behavioral biases in yourself and client
- Maintain client files in compliance with SEC standards
- Build really strong relationships based on listening
- At least 5 years of experience within the financial services industry
- Bachelor’s Degree
- Series 65 or professional certification or charter that gains IAR exemption
- Must have strong organizational and prioritization skills
- Ability to work independently to research and resolve client issues
- Problem solving skills to determine the most efficient method of problem resolution while complying with corporate and regulatory procedures
- Must have an understanding of appropriate paperwork and procedures necessary to process transactions
- Client services oriented
- Strong attention to detail
- Must be computer literate and proficient with Windows, Word, and Excel
- Ability to multitask
- Work both independently and within a team
What we provide:
We will provide you a collaborative environment where you will be able to contribute to the success of a team, that continues to drive results for you and your clients. We will provide a steady stream of new clients, challenging planning and relationship building scenarios, and ongoing training and administrative support as well as institutional grade asset management.
About Warren Street Wealth Advisors:
Warren Street’s 9 year vision is to advise 1,000 households and manage over $1,000,000,000 in AUM. Warren Street currently advises 182 households and has discretion on $107,000,000 in AUM (as of 2/13/2018)
- Clients’ Best Interest First
- Integrity and Honesty
To learn more about Warren Street Wealth Advisors please visit warrenstreetwealth.com/about-firm/
Thank you for taking interest us!
Client Service Representative (Posted 2/1/18)
Title: Client Service Representative
Salary/Wage: Commensurate with Experience
Education Level: Bachelor’s Degree
Company: Silversage Advisors® is a well-established independent financial advisory and planning firm offering a broad range of services to clients, such as fee-based investment management, financial planning, retirement analysis, and insurance coverage to assist clients with their financial goals and risk management. Silversage Advisors is a Registered Investment Advisor with the SEC and provides brokerage services through our Broker/Dealer affiliation.Read More
- 401K & Profit Sharing Plan
- Medical and dental
- Bonus plan
- Paid market holidays, vacation time, and personal days
- Reimbursement of employer approved education
- Paid parking
Responsibilities: The ideal candidate will have strong analytical skills and problem-solving abilities. Attention to detail is a must. The CSR position offers you the opportunity to interact with co-workers, clients and related professionals. The position balances computer-driven activities with telephone and in-person communication. Normal and recurring duties for the position include:
- Complete actions required to help service and maintain client relationships. This will include paperwork, letters and notes, emails and follow-up phone calls with clients
- Respond to client calls and emails in a courteous manner
- Build and maintain strong client relationships
- Assist principal in preparing for client appointments. May include producing reports, reviewing notes, updating plans and client profiles
- Will also help with post client meeting follow-up. May include documenting client appointments in our CRM system, creating and assigning actions required within the office as a result of the meeting and updating client profiles
- Greet clients for in office appointments, receive incoming and place outbound phone calls
- Audit internal procedures and develop documentation of procedures, as needed
- Excellent command of English to be able to speak, read and write fluently
- Ability to multi-task, set priorities, recall procedures, and demonstrate initiative
- Proficiency with Microsoft Office Suite (Word, Outlook, Excel, PPT, One Note) Dependable, prompt, regular attendance
- Willingness to update job knowledge with continuing education
- Aptitude to work independently or as a team
- Clean U-4, if applicable
Other helpful qualifications:
- A good understanding of the securities industry
- Series 6 or Series 7 FINRA License (will be required to obtain within first year of employment, sponsored by firm)
- Working knowledge of portfolio management systems, such as PortfolioCenter, Morningstar Office and Money Guide Pro
- Knowledge of CRM
- Work experience with a Registered Investment Advisor or Independent Brokerage firm
- Working understanding of Junxure Cloud
Education Requirements: Bachelor’s degree. Ideal candidates will be interested in continuing their education to obtain industry licenses. Candidates should view themselves as entering a profession, not just a job, and have a passion for financial planning.
Work Environment: The position will be in our Irvine location. The team consists of ten people who support each other in an atmosphere of trust and respect. We’re serious about serving our clients, and we enjoy lunches and periodic events together outside the office. Attire is business casual.
Registered Investment Advisor
19200 Von Karman Ave., Ste. 370, Irvine, CA 92612
Apply online with a cover letter or email your cover letter and resume as an attachment to email@example.com in a Microsoft Word, Rich Text, or PDF format.
Qualified applicants will be contacted to schedule an interview.
Financial Advisor (Posted 12/26/17)
Title: Financial Advisor
Salary/Wage: Commensurate with Experience
Salary Range: $50,000-$70,000 with Bonus Plan Job Category: Financial Services
Education Level: Bachelor’s Degree
Work Experience: 3-5 Years in Financial Services
Career Level: Experienced
Company: Apriem Advisors is a growing registered independent advisory firm servicing high net worth
families in the Southern California area.
The full-time salaried position offers competitive pay based on experience and benefits include:
- Retirement Plan
- Employee Medical Plan (50% paid by Apriem)
- Bonus plan
- Paid market holidays, vacation time, and personal days
- Paid parking
The Financial Advisor position is responsible for assisting other Wealth Managers and Portfolio Managers in managing new and existing client relationships. Candidates will be expected to discuss with clients and other wealth managers financial planning matters such as income planning, charitable planning, tax planning, and budgeting.
Other duties include:
- Coordinating with operations and investment teams on client matters.
- Assist in the preparation for client meetings.
- Performing portfolio review meetings with existing clients.
- Update Apriem website and blog.
Ability to move into a production type Wealth Manager role in the future.
Positions Available in Orange and San Diego Counties.
- 5 years’ experience as a Financial Advisor or comparable experience working in financial service industry
- Bachelor’s degree required CFP (or working towards CFP)
- Excellent computer skills.
- Specifically, in Outlook, Excel, and PowerPoint
- Strong and detailed knowledge of financial markets and securities laws
- Strong organizational skills with a proven ability to multi-task and manage multiple projects
- A team player with good interpersonal skills and the ability to work collaboratively across departments
- Excellent oral and written communication and presentation skills
- Demonstrated analytical skills, problem-solving abilities, and attention to detail
If Interested, please send a cover letter and resume to Rhonda Ducote, President @ firstname.lastname@example.org.
No Phone Calls please.
Client Service Manager (Posted 08/25/17)
Over the last 20 years, Anchor Capital Management, Inc has developed a strong reputation in financial planning and investment management, both here in Aliso Viejo and across the US. We endeavor to offer a truly comprehensive range of financial services. Our ability to provide superior guidance is evident from our prestigious list of clients.Read More
- Answer the telephone and direct incoming calls to the appropriate person
- Open and sort incoming mail and couriers; prepare outgoing mail and couriers
- Managing the calendar and requests for meetings
- Maintain inventory of stationary supplies
- File client statements and correspondence
- Keep the office clean & orderly
- Provide administrative support for the Private Client departments, as required
- Assist with the implementation of marketing programs. This will include researching prospective clients and sending out marketing communications.
- Organizing client events and arranging for client gifts.
- Booking travel; handling all arrangements; verifying travel and event details
- Client follow up for event details required
- Mastering a tracking system to keep track of time sensitive events
- Scheduling Client conference calls
- Ordering supplies in advance of events; processing and shipping online orders
- Data entry and upkeep of the company’s database, ensuring a high level of accuracy
- New client on-boarding
Knowledge, Skills and Abilities
- Completion of high school and administrative training or equivalent work experience
- Excellent command of English to be able to speak, read, and write fluently
- Dedication to detail and accuracy
- Ability to follow directions and work with minimum supervision; take ownership of assigned tasks, and think for themselves
- Excellent administrative, time management, and organizational skills
Proficiency in the use of computer programs for:
- Microsoft Office Suite (Word, Outlook, Excel, PPT)
- Familiar with; Junxure, eMoney, Orion, TD Ameritrade, Precise FP
- Internet savvy
The Client Service Manager will demonstrate competence in the following areas:
- Relationships: Maintain positive working relationships with others, both internally and externally
- Communication: Excellent listening skills, oral and written communication skills
- Needs Assessment: Anticipate, understand, and respond to the needs of their employer and the clients to meet or exceed their expectations
- Teamwork: Follows direction well, work cooperatively and effectively with others to set goals, resolve problems, and make decisions to enhance company’s effectiveness; ability to undertake self-directed tasks when necessary
- Organization: Excellent time management skills; excellent attention to detail; the capacity to prioritize by assessing situations to determine urgency; ability to develop a work schedule, and ability to make clear and timely decisions
- To commence, the Executive Assistant will work onsite in our office
- Full time work, 8:30am – 5:00pm
- Salary will reflect experience and qualifications
- References are required and relevant experience required
Apply online with a cover letter or email your cover letter and resume as an attachment to email@example.com in a Microsoft Word, Rich Text, or PDF format.
Qualified applicants will be contacted to schedule an interview.
Ryan Maroney, CFP®
15 Enterprise | Suite 450 | Aliso Viejo, CA 92656 | U.S.A.
Office: 800.290.8633 | Fax: 949.382.1497