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 Administrator (Posted 12/2/20)
Come work as a Portfolio Administrator at a growing wealth management firm that offers great benefits with opportunities to advance and learn alongside accomplished business leaders.
Spinnaker Investment Group takes a holistic approach to managing our client’s affairs. We offer advice that is tailored to our clients’ needs in the areas of wealth, goal, estate, insurance, and financial planning.Read More
We are seeking someone who
- Has a passion for helping people.
- Desire to learn and adapt.
- Wants to grow within a firm and within a dynamic role.
- Set up and maintain client accounts on all software platforms.
- Direct the client onboarding process
- Reviews and maintain client transactions and activities in Salesforce.
- Executes client and firm tasks, asset transfers, report preparation, and general support of portfolio and investment strategies.
- Service client calls and provide quality services with an excellent customer experience.
- Schedule client meetings.
- Respond to administrative and clerical queries.
- General office operations such as supplies and office equipment.
- Maintain and adhere to compliance as well as policies and procedures.
- Bachelor’s degree
- Financial services work experience preferred
- Knowledge of financial markets, language, and requirements a plus
- Knowledge of Tamarac/Envestnet ideal
- Proficient in the Microsoft Office suite
If you are interested in this position, please send resume and cover letter to firstname.lastname@example.org
Associate Director of Planned Giving (Posted 11/6/20)
About American Civil Liberties Union of Southern California
Founded in 1923, American Civil Liberties Union of Southern California (ACLU SoCal) is dedicated to defending and advancing civil liberties and civil rights. ACLU SoCal works in the courts, legislatures and communities to defend the principle that every individual’s rights must be protected equally under the law, regardless of race, religion, gender, sexual orientation, age, disability or national origin. ACLU SoCal has offices in Los Angeles, Orange County, Inland Empire, and Kern County.
Today, the ACLU has affiliates in 50 states, Washington, D.C. and Puerto Rico. California is unique in that it has three affiliates: ACLU of Northern California, ACLU of Southern California and the ACLU of San Diego & Imperial Counties. Often, the three affiliates work in collaboration on statewide initiatives under the “ACLU of California.”
Generally, the ACLU SoCal works on behalf of people in the Southern California region, namely in Los Angeles, Kern, Orange, Riverside, San Bernardino, San Luis Obispo, Santa Barbara and Ventura Counties.
Their work includes the protection of the First Amendment, Equal Protection, Due Process, Privacy, and Groups and Individuals that continue to struggle for civil liberties. They accomplish this by public education, lobbying and litigation. They educate and help empower individuals about their rights. They advocate for and against federal, state and local measures. And, when necessary, they file federal and state court lawsuits. They do all of this to defend and preserve the individual rights and liberties that the Constitution and laws of the United States guarantee everyone in this country.
To learn more about the History of the ACLU of SOCAL read here.Read More
The ACLU SoCal seeks an Associate Director of Planned Giving who will be located in Los Angeles or Orange County offices. ACLU SoCal has a high achieving track record of securing support through planned gifts from its 130,000 members. The purpose of this position is to ensure that ACLU SoCal is establishing, strengthening, and retaining strong, long-term partnerships with planned gift donors, primary through the management of a portfolio of high-level prospects, and leading the advancement of the Gift Planning program.
Donor interest in planned gifts has surged at the ACLU, and the program is poised for unprecedented growth. ACLU SoCal is seeking a seasoned gift planning professional to lead this effort. This key member of ACLU SoCal’s philanthropy team will focus on a portfolio of prospects with the potential to make significant, six- and seven-figure plus planned gifts, as well as managing a stewardship portfolio of top DeSilver Legacy Society members. Activities will include face-to-face donor visits, cultivation programming and other avenues in cooperation with the resources of the national ACLU’s Gift Planning department. Gift administration, and most marketing, inquiry fulfillment, and management of estates in probate, are centralized at the ACLU national office.
Will report directly to the Chief Development Officer.
FACE-TO-FACE SOLICITATION & STEWARDSHIP (75%)
- Make use of provided modeling and wealth screening to prospect for longtime, loyal donors with high bequest likelihood and the capacity to make seven-figure plus planned gifts;
- Maintain an active solicitation portfolio, and advance prospects through the cultivation and solicitation process; Create individual goals and a comprehensive plan for each person in the portfolio; Solicit outright and blended gifts as the opportunity arises;
- Maintain a select stewardship portfolio of top donors, and personally manage key relationships;
- Track portfolio activity and progress. Meet portfolio goals including number of donor visits and meaningful, monthly personalized donor contacts;
- Maintain a working knowledge of relevant tax, probate, trust, and financial/estate planning strategies and appropriately apply this knowledge to address individual donor needs and goals;
- Provide advice for individual giving fundraisers on donor strategies for planned gifts;
- Participate in fostering a culture of philanthropy by promoting planned giving throughout the organization, including training and coaching staff or volunteer solicitors when applicable.
PROGRAM MANAGEMENT (15%)
- Monitor the pipeline of estates in probate; Assist with estates and trusts that present complications;
- Support the annual budgeting process with planned giving revenue projections; support annual operating goals planning process;
- Provide analytical support and strategic guidance on the direction of planned giving program.
CULTIVATION & MARKETING (5%)
- Lead affiliate participation in special gift planning opportunities, such as legacy matching challenges;
- Design and produce stewardship/engagement events for DeSilver Legacy Society members;
- Create and update collateral materials that are consistent with national ACLU’s style guide and planned giving program.
- Maintain a strong knowledge of local and national ACLU work, priorities and historical highlights to discuss with donors and prospects;
- Participate in professional organizations and maintain visibility in the local planned giving community;
- Assist with, support and participate in fundraising events and stewardship activities with Philanthropy team colleagues, as needed;
- Undertake special projects, as requested, at the direction of the Chief Development Officer;
- Other duties as assigned.
Racial Equity Competencies
Understanding and Applying Racial Equity
- Demonstrate commitment to building or deepening understand of racial equity:
- Core terms and concepts such as structural racism, white privilege, and anti-Blackness.
- The role that racial inequity has played and continues to play in our society.
- How race impacts supervisory relationships, team dynamics, and organizational culture.
- Personal/implicit/unconscious bias.
Working for Racial Equity
- Consistently assess structural implications and racially disproportionate impacts of policies, activities, and decisions within the context of their job responsibilities; race/ethnicity, intersection of race/ethnicity, gender, identity, and/or sexual orientation.
- Consistently adhere to organization’s racial equity policies and procedures, including those that relate to hiring, retention, and promotion.
- Consistently identify and disrupt ways in which bias plays out in work and/or team.
- Minimum bachelor’s degree in a related field, or equivalent experience. J.D. or CPA designation preferred, but not required;
- Minimum four years’ of experience in fundraising, portfolio management and solicitation;
- Proven track record cultivating and soliciting qualified planned gift prospects and closing planned gifts of $100,000 or more. Strong knowledge and experience with charitable bequests and other gift planning vehicles.
- Demonstrated experience with tax, financial and estate planning issues.
- Strong interpersonal skills and the ability to work in high-pressure situations while demonstrating tact and diplomacy.
- Excellent verbal and written communication skills; including expertise in public speaking.
- Excellent organizational skills and the ability to manage multiple projects. Superior attention to detail and strong follow-through. Creative thinker with the ability to see projects through to completion and meet tight deadlines.
- Must be self-motivated, possess initiative and the ability to work independently as well as part of a team.
- Computer proficiency, including an understanding of donor database management systems. Experience using Planned Giving Manager software preferred.
- Experience working in a non-profit institution of comparable complexity and scale is preferred, as is experience working with volunteers and board leadership.
- Frequent travel is required.
- Commitment to the mission of the ACLU.
Scope and Opportunity
The Associate Director of Planned Giving will have the unique opportunity to advance the oldest and largest planned giving ACLU affiliate program. Working with an established foundation and the support of national staff, drawing on an established foundation and the support of national staff, the ideal candidate will be able to hit the ground running. The loyalty and effort put forth by the previous individual in this position means there is already commitment from Planned Giving donors and a large prospect pool waiting to be cultivated and stewarded. Leadership defines the position as having full creative freedom. This candidate will have the ability to draw on the support of other departments, if needed, depending on the need of the high valued donor.
There is opportunity for mobility and professional growth, both within ACLU SoCal and the National Office.
The ACLU SoCal is committed to both bringing on candidates that understand racial and culture competencies, as well as always working to improve inclusion and belonging in the work place. The ACLU SoCal staff sets time aside for department study and self-study to improve anti-racist core competencies. By working to elevate community fundraisers and partners, the ACLU SoCal is building bridges between funders and black-led organizations. There is still work to be done, the ACLU SoCal recognizes there will always be a fight to acknowledge the impacts of making changes around power and privilege and will work to improve anti-racist competencies.
Compensation and Benefits
The salary range for this position is $ 90,000 – $100,000. Benefits include medical, dental, vision insurance for staff members and their eligible dependents; life, long-term disability and short-term disability insurance; 401(k) plan with employer match; ample vacation and sick leave with thirteen paid holidays.
ACLU of Southern California has retained the services of ThinkingAhead Executive Search. Interested applicants should send a resume and statement of interest to Heather Campbell, Recruiter: email@example.com.
ACLU of Southern California is committed to developing a culture of diversity, equity, respect, and inclusion and to strive to maintain a workforce that reflects the communities that we serve. The ACLU SoCal is an equal opportunity employer that does not unlawfully discriminate on the basis of any status or condition protected by applicable law. We encourage all qualified individuals to apply and value people of all races, genders (including gender identity or expression), sexual orientations, disabilities, citizenships, ages, religions, and national origins and who have different marital statuses, family caregiving responsibilities, lived experiences with the criminal justice systems, and genetic information. ACLU SoCal does not tolerate discrimination or harassment on the basis of any of these characteristics.
The ACLU SoCal is committed to providing reasonable accommodation to individuals with disabilities. If you are a qualified individual with a disability and need assistance applying online, please e-mail firstname.lastname@example.org. If you are selected for an interview, you will receive additional information regarding how to request an accommodation for the interview process.
ThinkingAhead Executive Search
Financial Planner (Posted 10/29/20)
Mercer Advisors is a total wealth management firm that provides comprehensive financial planning and investment management services. Dedicated to improving the lives of our clients both today and through their retirement, we help them to develop a clear vision of their life goals. We then support their journey by providing comprehensive and coordinated wealth management advice that encompasses all areas of their financial life. Our staff of over 300 in 40+ offices coast-to-coast includes financial advisors, attorneys, CPAs, investment experts, and other skilled and talented professionals who want to create a life of choices and freedom for each and every client.Read More
The Financial Planner assists the Branch Manager in reviewing, analyzing and delivering financial planning modules to clients. Working with the Branch Manager, Client Advisors, Associate Planners, Client Associates and Regional Vice Presidents, the Financial Planner is an integral member of the branch client service team.
Essential Job Functions for the Financial Planner will include:
- Providing advanced planning support to Client Advisor and Branch Manager in the areas of investments, tax, pension, estate, insurance and general financial planning
- Supporting in servicing clients by preparing for meetings, developing presentation materials and providing reviews and ad hoc reporting
- Managing the financial planning workflow to support the Client Advisor and Branch Manager’s commitments to clients and meet post client meeting delivery deadlines
- Establishing and developing strong relationships with clients and participating in client meetings with Client Advisor and Branch Manager
- Dispensing financial planning advice in both supervised and unsupervised environments
- Delivering financial planning support that results in increased referrals and high client retention
- Acting as a trusted advisor through preparation and delivery of advice to clients within the context of the Financial Planner’s knowledge and training
- Collaborating with other team members and departments including Investments and Family Wealth Services (FWS)
- Providing support and training to Client Associates and Associate Planners
- Ensuring adherence to company standards of client care, meetings, referrals and retention
- Bachelor’s degree from an accredited institution (preferably Business, Economics, Accounting or Finance related)
- Certified Financial Planner (CFP) designation
- At least 2 years financial industry related experience required; 3 to 4 years’ experience preferred
- Client-facing experience required
- Excellent verbal, written, analytical and organizational skills
- Proficiency with MS Word, Excel, PowerPoint and Outlook; experience with Salesforce and financial planning software preferred
- Technical and analytical training and experience in financial planning
- Demonstrated flexibility, versatility and ability to manage multiple priorities and deliver to tight deadlines in a team environment
- Ability to work without close supervision managing and prioritizing deliverables
- Must be highly flexible and confidential with all matters
- Ability to travel up to 20% required
Benefits: We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. Mercer Advisors is an equal opportunity employer offering a competitive salary and benefits package.
We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.
Institutional Sales Associate (Posted 10/23/20)
A Registered Investment Advisor based in Los Angeles is seeking a highly motivated self-starter to join its team in the position of Institutional Sales Associate.Read More
Institutional Sales Responsibilities
- New business development:
- General support of Institutional Sales MD (ISMD) and Director of Consultant (DoC) Relations in their new business development activities.
- Develop and maintain a comprehensive understanding of the firm’s equity portfolios so as to provide secondary sales and marketing support of ISMD and DoC in providing information to prospective clients and institutional consultants.
- Uncover cross-selling opportunities through prospective client and/or consultant interactions.
- Collaborate with the firm’s Institutional Team members to provide general support in the ongoing servicing of prospective clients and consultants.
- Collaborate with Institutional Team members on the development and production of educational white paper content to further support the firm’s efforts to be identified as a “thought leader” in the asset classes it manages.
- Assist in scheduling/coordinating prospective institutional client meetings, including providing background information on the prospective client to all meeting attendees. Schedule “prep” meetings, as necessary, to prepare all meeting attendees.
- Existing clients:
- Assist in scheduling/coordinating institutional client portfolio meetings, providing appropriate meeting material to meeting attendees for review prior to meetings.
- Uncover cross-selling opportunities through client interactions.
Data Analytics Responsibilities
- Identify potential institutional sales opportunities through technology resources. (Evestment, FinDaily, etc.).
- Review daily information from institutional market data providers to identify potential search activity.
- Design competitive intelligence platform.
- Responsible for developing a comprehensive “competitive intelligence” platform, by gathering pertinent data with the goal of developing insight and potential “competitive edge” so as to best prepare the team for each potential institutional opportunity.
- This data gathering would include:
- Information on the prospective clients, including information on the key decision makers.
- Information on institutional consultants who are advising prospective clients.
- Information on primary competitors in each asset class, provide comparison analytics and commentary on how to best position the firm vs. competitors. Identify peers that could be in redemption due to corporate changes or poor performance.
- Provide fee analysis.
- Assist in providing fee data for RFP requests and competitive bidding.
- Provide analysis on institutional industry trends.
- Provide quarterly report that provides analysis of purchasing trends in equity asset classes.
- Provide quarterly information on general industry trends (ESG, diversity requirements, etc.).
Competencies and Attributes:
- CFA certification preferred.
- 5+ years of relevant experience in the investment management industry.
- Superior communication skills, both oral and written; strong presentation skills.
- A demonstrated ability to manage priorities and meet established timeline goals.
- Strong analytical skills with attention to detail and accuracy.
- Ability to collaborate in a professional and constructive manner within a team-oriented culture.
- A bachelor’s degree required from an accredited university with a strong educational foundation in finance and economics.
- Proficiency in working with Evestment and MMD platforms, Salesforce CRM, and the Microsoft Word, Excel, Powerpoint, and Outlook suite.
Please email resumes to email@example.com
Lead Advisor & Associate Advisor Positions Available (Posted 10/14/20)
Anchor Bay Capital Inc. is a rapidly expanding SEC registered RIA offering financial planning, tax, and investment advisory services with offices in Carlsbad and Tustin. We have an opening for a Lead or Associate Advisor who wants a client continuity or succession plan for their clients or is interested in joining an independent firm with an ownership track for future professional growth.Read More
There are significant benefits to working with Anchor Bay Capital, including our in-house financial planning, tax, investment, and service teams. Having the support of highly experienced and credentialed members of our team allows our advisors to focus on their client relationships and gather new assets instead of worrying about the burden of the day to day operation of a financial planning practice. In addition to our in-house team approach, we offer state of the art technology, turn-key seminar and marketing systems, firm provided prospect leads, the ability to work from one of our offices or remotely, plus complete compliance and practice management support. While we are primarily a fee-based firm serving clients on an AUM, hourly, flat fee, or subscription basis, we have a broker dealer and insurance solutions if desired.
The ideal advisor would be someone with an established book of business who is looking to join a firm that is focused on comprehensive financial planning, is fee based, acts as a fiduciary in all aspects of their practice and likes a “one stop shop” approach. Tax preparation experience and licensing is a plus.
We offer a competitive compensation package including a base income plus performance bonuses, 401(k), subsidized health insurance, ownership opportunities, a liberal time off policy, and financial support for industry conferences, membership and professional credentials. We also offer an opportunity to monetize your current book of business through a variety of purchase options.
- Provide comprehensive financial advice and serve as relationship manager to new and existing clients.
- Support the Financial Planning Director with preparation of financial plans and income tax returns. (Associate Advisor)
- Participate in developing and conducting firm marketing activities including webinars, seminars, and written content.
- Form new client relationships through networking, referrals and marketing generated leads.
- Increase skills and knowledge through continuing education and obtainment of professional credentials.
Requirements for Consideration
- Bachelor’s degree – ideally in financial planning, business, or accounting
- Minimum of 2 years industry experience for Associate Advisor or 5 years client facing experience for Lead Advisor
- CFP designation for Lead Advisor
- Series 65 license plus clean U-4 and background check
- Established book of business is a major plus
- Experience and credentialing (CPA, EA, CTEC) in tax preparation also a major plus
- Experience with eMoney or Moneyguide Pro preferred
How to Apply
Send your cover letter and resume to:
Jim Allen: firstname.lastname@example.org
Summary of Position for Director of Operations (Posted 10/5/20)
The Director will be charged with leading a team of operational specialists who provide support and a superior service experience to Ashton Thomas Advisors and clients. The role is based in Ashton Thomas’ Scottsdale company headquarters and will report to our COO.
An excellent candidate is passionate about relationship and project management, is hands on, and has deep knowledge of the RIA and broker-dealer space. This individual must be a confident leader who is comfortable managing various stakeholders through complex problems. They must be a great communicator with the ability to connect across all levels of the organization, critical vendors, and other advisory firms.Read More
Duties and Responsibilities
- Oversee the management, coaching, and development of a team of operations and Client Service team members.
- Understand key strategic, financial, and operational drivers of all back-office and middle-office functions.
- Coordinate the operational team for onboarding new advisors and advisor teams.
- Manage staffing, work schedules, and monitoring of multiple call/workflow queues to ensure department standards and company guidelines are achieved and exceeded.
- Work closely with the COO and make tactical recommendations related to the allocation of resources in an effort to ensure adherence to high service level standards.
- Identify and resolve operational and compliance issues that may arise during daily activities.
- Establish and maintain strong relationships with service teams for the firm’s custodians to tackle time-sensitive issues.
- Complete special projects and assist with writing communications to the field on operational enhancements. Participate in presentations as needed.
- Identify process improvements and coordinate with COO and CCO to implement the solutions in an effort to build efficiencies and increase productivity.
- Develop and implement best-practice processes related to the firm’s operations and in support of the firm’s other departments including client data, employee changes, and investment functions including portfolio accounting and trading.
- Develop written procedures when system changes are implemented.
- Serve as a Team Leader and assist with escalated issues, manage call escalations from clients and advisors. Manage high-profile complaint requests.
- Assist with the review and principal approval of new account applications.
- Develop strong networks and relationships among stakeholders and all members of the firm to create operational efficiencies.
- Identify and resolve operational and compliance issues which may arise during daily activities.
Skills and Abilities
- Experienced in consistent cross-functional program delivery
- Proven project management skills
- Strong interpersonal skills and an innate ability to build immediate rapport with financial/wealth advisors, company leaders and colleagues
- Developed understanding or the ability to quickly learn the operational details of advisory business (e.g., RIA) functions (IT, Finance, Operations, Compliance, etc.)
- Demonstrable ability to communicate, present and influence key stakeholders at all levels of an organization, including executive and C-level
- Proven ability to manage multiple projects at a time, while maintaining sharp attention to detail
- Proactive self-starter and highly motivated, ability to work independently and drive change
- High ethical standards and integrity
- Outcome driven
- Excellent listening, negotiation and presentation abilities. Strong verbal and written communication skills
- 10+ years of operations experience, 5+ years with managerial functions within financial services. Experience at a Registered Investment Advisor (RIA) highly preferred.
- Bachelor’s degree
- FINRA Series 65/66, 7, and 24 Preferred
- Industry professional designation(s) preferred (CFP, CPA, ChFC, CIMA)
- Proficiency with Microsoft Office
- Advanced knowledge of Microsoft Excel including v-lookups and pivot tables
- Strong customer service skills and comfort with inbound/outbound calls
- Outstanding written communication skills
- Willingness to be flexible with schedule to meet extended business hours and heavy client demand
- Advanced knowledge of Mutual Funds, ETFs, Brokerage Accounts and the Managed Account Industry is necessary
- Superior management and collaboration skills including the ability to influence and engage direct and indirect reports and peers.
- Bachelor’s degree, advanced degree and/or designations preferred. Series 65 required to be obtained upon hire.
- Organized and detail oriented while managing and prioritizing multiple tasks simultaneously.
- Competitive base salary, bonus
- Company 401(k) with match
- Health and dental insurance
- Paid time off
Interested parties need to reply to:
William Cerynik <email@example.com> or apply here: https://www.linkedin.com/jobs/cap/view/2149579445/?pathWildcard=2149579445&trk=mcm