June 26, 2008

Investment Adviser

Who we are looking for...

We are seeking an exceptional and experienced individual to join our investment management team. With a focus on global tactical asset allocation primarily utilizing actively managed mutual funds, ETFs, and alternative investments, you will help us expand and service our existing base of wealthy individuals, families, endowments and retirement plans.

Your professional qualifications...

• have experience working with wealthy individuals and families. Institutional client management also a plus
• either have existing clients or demonstrate the ability to generate new business
• either have or demonstrate the ability to develop a network of potential referral sources (e.g., CPAs, attorneys, etc)
• be willing to implement a model portfolio strategy developed by a centralized investment committee of which you will be a member
• have a familiarity with various aspects of hands-on portfolio management including tactical asset allocation, manager selection, traditional and non-traditional asset classes, and the various investing styles
• share the firm's investment management philosophy
• have an awareness of financial planning issues related to managing wealth
• ideally have earned an MBA, CFA, CFP or CPA

Your personal qualities...

• participate in the firm's client service-focused culture
• have a desire and ability to work in a team-based environment
• have a demonstrated ability to earn the trust and respect of clients and peers
• have an extremely high level of personal and professional integrity

Your responsibilities...

• serve as a secondary client service contact for a limited number of existing clients.
• After a training period, you will serve as a primary contact for some of these clients
• participate in all aspects of servicing clients, including
• Assisting clients in setting an investment strategy, implementing an initial asset allocation, rebalancing and all trading within each client's portfolio, implementing strategy changes, etc.
• Conducting regular meetings with clients to review portfolio strategy, account activity, performance, etc.
• Maintain and/or establish relationships and coordinate with clients' other professional advisors
• (CPAs, attorneys, etc.) as needed
• be a member of and participate in the firm's Investment Committee

Learn more about us at www.lgam.com

Please send cover letter, resume and salary history to Director of Resources, jobs@lgam.com.
 

June 26, 2008

Assett Class Research Analyst

Job Location: Orinda, California

We are looking for an experienced analyst who has a passion for investing, an interest in fundamental asset class research, and a belief in a patient long-term approach to investment decision-making. He or she should have a strong analytical foundation preferably with some background in either general asset class analysis or experience related to a specific asset class. Demonstrated ability to sort through and synthesize information to determine what's important and what's not, is a requirement as is the ability to identify and understand complex relationships between asset class variables.

The job will involve ongoing research of specific asset classes, a variety of asset class and investment research projects, monitoring of third party research, involvement in scenario analysis, and over time, potential input into tactical asset allocation decisions.

In addition, the job includes extensive writing responsibilities for our research publications that are distributed through various channels to our clients, mutual fund shareholders and the financial advisor community. These responsibilities, which are shared with other team members, may involve communicating our investment approach, our outlook for the markets, discussing the performance of our portfolios and mutual funds, educating clients, and providing context and perspective on investing.

We also expect that over time there will be some responsibility for outside communications including occasionally speaking at client and industry conferences, and at smaller gatherings of our business partners or clients.
Please note: We seek an individual willing to make a long-term commitment to our company. The candidate we select must either live in the area or be willing to relocate in order to work from our Orinda, California office.

Requirements:

• A passion for the investment industry and a high level of investment curiosity and intellectual honesty
• A thorough understanding of the capital markets and familiarity with mainstream asset classes
• Ability to think independently and exceptional qualitative and quantitative analytical skills. (Candidates may be given an analytical assignment as part of the interviewing process.)
• Ability to write top-notch, publication-grade investment articles that require minimal editing or supervision
• (Candidates may be given a writing assignment as part of the interviewing process.)
• Outstanding interpersonal and public-speaking skills
• CFA is highly desirable
• Warm personality with a good sense of humor, team orientation and a passion for learning

Learn more about us at www.lgam.com

Please send cover letter, resume and salary history to Director of Resources, jobs@lgam.com.
 

June 26, 2008

Compliance Officer

Description: McDonnell Investment Management, LLC is a registered investment adviser located in Oak Brook, Illinois, with assets under management of approximately $12 billion. Our core business includes separate account management and alternative credit strategy funds for corporations, retirement plans, municipalities, hospitals, endowments, foundations, insurance companies, private clients and mutual funds.

We have an opportunity for a Compliance Officer who is highly motivated and enjoys working in a team environment. This position will report to the Chief Compliance Officer and with direction from the Legal/Compliance Team.  Area of focus may include Investment Advisers Act related matters such as registration, compliance with the firm’s Code of Ethics policies and procedures, exception reporting analysis and Marketing Material review. Specific responsibilities include:

• Review advertising and sales marketing material to determine whether the documents are in compliance with relevant regulations and industry standards.
• Review client and educational presentation material for accuracy and consistency with internal/external sources and various systems.
• Devise, monitor and review disclosures for accuracy with a focus on performance and attribution claims.
• Perform reviews on Consultant databases on the posted commentaries and performance data.
• Review RFP and other due diligence responses for accuracy and consistency with associated reports.
• Conduct surveillance of electronic correspondence on as needed basis.
• Participate in the Firm’s annual review by developing testing programs in the marketing arena.
• Review and monitor gifts and entertainment and contributions that involve the marketing, sales, and client service groups.
• Review and track solicitation and referral fee arrangements.
• Conduct periodic compliance training sessions and perform other compliance projects as needed.

Qualifications: Four year bachelor degree, preferably in accounting, business, mathematics, finance or economics. Minimum 3-5 years of compliance experience in an asset management or financial services firm. Serious 65 is a plus. Experience working with fixed income products; familiarity with structured products and private funds a plus. Organized and detail-oriented with the ability to multi-task. Self starter with the ability to work both independently and in a team environment. Strong analytical and presentation skills are required. Ability to compose and edit material for compliance purposes. Works well under pressure to meet deadlines. Proficient in Word, Excel and Powerpoint.

Compensation / Benefits: McDonnell Investment Management, LLC is an equal opportunity employer offering a friendly, professional environment with business casual dress. We offer a competitive compensation package (including salary and discretionary bonus), with comprehensive benefits including medical, dental, life insurance and participation in the company’s 401(k) plan. If you are looking for an opportunity to contribute to a dynamic team and work in an entrepreneurial environment, send your resume and salary requirements to us by fax at 630-368-3977 or e-mail to eckerte@mcdmgmt.com, or mail your resume to:

McDONNELL INVESTMENT MANAGEMENT, LLC
Attn: Corporate Administration Manager
1515 West 22nd Street, 11th Floor
Oak Brook, Illinois 60523
 

May 13, 2008

Compliance Analyst

Dreyfus Corporation, a leading mutual fund company located in New York City is seeking an experienced Compliance Analyst. Responsibilities include:

Assisting in administering the Compliance Program for Dreyfus and MBSC (investment advisers). Design and perform testing on adviser policies and procedures. Perform annual reviews of adviser policies and procedures and make recommendations for improvements.

6 years background in Compliance, Fund Accounting/Administration, Internal Audit, Distribution and/or Legal preferred. A minimum of two years Compliance and/or internal audit experience required. Bachelors degree, good understanding of investment advisers, mutual funds, knowledge of securities and markets, basic knowledge of securities laws relating to Investment Advisers. Excellent written, oral and presentation skills. Strong PC skills and ability to interface effectively on systems issues.

Please send a resume and cover letter summarizing qualifications and salary requirements to bartlett.ma@dreyfus.com
 

May 13, 2008

Portfolio Manager & Senior Investment Officer

Perkins Coie Capital Management, LLC, a Seattle-based investment advisor that serves high net worth individuals and charitable funds, is seeking a Senior Investment Officer who will be responsible for the management of clients' trust and investment portfolios.

Will coordinate internal fixed income strategy with the Chief Investment Officer, including strategy, research/analysis, trading as well as selection and monitoring of external advisors as appropriate for client accounts. Will adhere to investment policies and procedures and regulatory compliance. Will work closely with fellow investment professionals in wide spectrum of investment activities, including capital markets research, asset allocation strategies, and portfolio construction and monitoring.

Requires ten plus years of experience in general portfolio management, preferably including trust accounts, with solid prior experience in handling fixed income investments. Experience with alternative investments a plus. Adaptability, continuous learning and team player attitude important. Must have strong interpersonal, communication and presentation skills. CFA required, MBA advantageous.

Contact:

Please reply please refer to the Portfolio Manager & Senior Investment Officer position - Job #S20080408 and e-mail or mail resume and salary history to:

staffpositionsSEA@perkinscoie.com

Perkins Coie
ATTN: Staff Recruiter
1201 Third Avenue, Suite 4800
Seattle, WA 98101
 

May 13, 2008

Portfolio Management Assistant

We are looking for a highly motivated, intellectually curious and proactive individual to support the investment professionals in our Seattle office in all aspects of investment management and compliance including trade execution, investment research and analysis, performance measurement, investment compliance and client reporting. Candidates will possess superb organizational/time management skills and attention to detail while prioritizing and performing multiple assignments with limited supervision. This is a unique opportunity for a high-energy team player with multiple responsibilities and potential for growth in the investment industry.

Essential Job Functions include:

* Performance Reporting

Coordinate performance reporting with third party vendor. Maintain asset, asset classification and other account parameters to assure quality of performance reporting. Maintain composite performance data on manager comparison database.

* Trade Placement

Place trades as directed, ensuring compliance with trading and best execution policy. Maintain highest data integrity in trade systems and effectively communicate with operations and Investment Team to minimize errors and efficiently resolve trading problems.

* Research & Analysis

Assist SIOs in research of market conditions, specific investments and portfolio strategies. Advise team of price alerts, corporate actions and changes in security ratings where applicable. Poll fixed income brokers to determine if inventory level meets specified criteria (cross reference with Bloomberg).

* Investment Compliance

Support forensic testing as requested in support of annual compliance review. Support compliance personnel when necessary in risk management and required procedures.

* Reporting

Prepare periodic reports used by Investment Team and for Investment Policy Committee. Serve as secretary to Investment Policy Committee.

Viable candidate will have knowledge of financial markets, investment vehicles and strategies; excellent quantitative analysis skills/able to distill relevant data. Will possess exceptional communication skills and is a strong team player. Must have advanced skills in Excel, Word and PowerPoint. Familiarity with investment software including SunGard Charlotte or Advent, Bloomberg, Baseline, Frontier Analytics, and Morningstar is beneficial. Must have the ability to quickly learn new technology. MBA or CFA Level I or II preferred.

EDUCATION AND EXPERIENCE

Requires a BA degree in a related field and 3+ years of experience or equivalent in securities operations, investment management, brokerage, or finance. 1 - 3 years experience in performance measurement and trade execution. Must have a demonstrated track record in support of investment functions.

Contact:

Please reply please refer to the Portfolio Management Assistant position - Job # S20080505 and e-mail or mail resume and salary history to:

staffpositionsSEA@perkinscoie.com
Perkins Coie
ATTN: Staff Recruiter
1201 Third Avenue, Suite 4800
Seattle, WA 98101
 

April 30, 2008

POSITION: Portfolio Systems and Operations Director (PSOD)

REPORTS TO: COO

DATE: April 21, 2008

ABOUT WEALTHTRUST

WealthTrust LLC, a Nashville, TN-based holding company, is a strategic financial partner for U.S.-based investment management firms which provide comprehensive wealth management services to select individuals and families. WealthTrust strengthens each affiliate with a strong platform of services, including finance, accounting, human resources, technology, marketing, operations, legal, and compliance. This allows affiliates’ maximum time to focus on achieving each client’s goals and objectives.

We hold an equity interest in eleven affiliated investment management firms across the United States which has approximately $8.6 billion in client assets collectively. WealthTrust’s geographical footprint, established integrated support services, and vision for growth make it a platform that is well-positioned to capitalize on current industry trends.

JOB SUMMARY

The PSOD will manage portfolio systems and operations activities for multi-office wealth management organization. This position will be primarily responsible for support and technical analysis of all Advent products (AXYS, APX, MOXY) and other related products and services. They will be responsible for providing input and oversight to the ongoing build out of the platform. In addition, this person will be responsible for 3rd-Party Relationships with Operations service providers (custodians) and vendors (other portfolio management support systems that integrate with Advent). This person will be a leader in assuring all current and future affiliates are integrated on the platform. The PSOD supports all affiliates and is a platform role.

 RESPONSIBILITY AND OVERSIGHT

• Assist in the design and oversee the implementation of the portfolio accounting, trading, and reconciliation platform for the WealthTrust platform.
• Integrate all affiliate operational activities onto the WealthTrust platform.
• Establishes and implements service level agreements with all affiliates to assure high quality client results.
• Working with other platform functions to address issues in the portfolio accounting, trading, reconciliation systems, and across the overall platform.
• Determine (with others) the appropriate support environment for composite reporting / activities and firm-wide data management.
• Determine (with others) the appropriate approach to firm-wide management.
• Supports operations platform level activities with other platform components to assure continual improvement environment.
• Provide relationship management to all affiliates on their operations activities along with responding to all inquiries, questions, and special requests.
• Maintain an ongoing understanding of industry enhancements that support the continued built outs of a strong operating platform.
• Assist Management by providing strong input and insights into key vendor relationships.
• Maintains accounting for portfolios on Advent and in-house portfolio accounting systems.
• Create / Develop procedures and policies in support of the portfolio accounting operations activities consistent with a strong operating platform.
• Identify reporting enhancements and arising issues in the portfolio accounting systems and address.
• Develop / Maintain policies and procedure necessary to support the environment.
• Oversee the day-to-day administration (including staff) of all client portfolios.
• Oversight of compliance activities related to operations (to include MOXY).
• Generate quarterly bills and client reporting packages accurately and timely.
• Analyzing business processes to look for ways to improve processes either through technology or better business practice.
• Update portfolio accounting system for account reconciliation, tax cost adjustments, corporate actions, maintenance changes, and other activities as needed.
• Review daily systems processes that are designed to add transactions, pricing, and other security information to the system and resolve exceptions.
• Resolve the most difficult issues relating to the use of the Advent system.
• Assist in training new Portfolio Administrators and existing Portfolio Administrators on new policies and procedures affecting their work routine.
• Participate and oversee projects related to portfolio administration and operations.
• Oversee the resolution of trading and settlement issues.
• Provide system administration and troubleshooting support for MOXY.

KNOWLEDGE, SKILLS AND ABILITIES

• Knowledge of portfolio accounting systems, including Advent APX, AXYS, trading systems (MOXY), and portfolio reconciliation systems.
• Experience using Advent software and Microsoft Office and understanding of their interaction with each other
• Broad understanding of investment management principals, and the portfolio management process.
• Strong verbal, written, interpersonal, organizational, and administrative skills.
• Ability to interact effectively with Affiliate Firms and all levels of employees to facilitate change.
• Strong sense of urgency and responsiveness to others needs while staying focused.
• Strong people management and team management skills.
• Works well under pressure, requiring a minimal degree of supervision; able to organize work well with a high degree of attention to detail and quality results.
• Experience in automating system processes and developing interfaces.
• Experience with Microsoft software in support of platform.
• Strong knowledge of rules and regulations for accounting for securities transactions.
• Strong belief in processes with checks / balances that are industry compliant.
• Initiative to assume full responsibility of issues and provide resolutions.

MEASURES OF SUCCESS

• Effectiveness of affiliates’ integration, operations platform design, implementation, and adherence without risking the integrity of the data (both current and historical data).
• Accuracy and timeliness of client account set-up, maintenance, and delivery to affiliates.
• Compliance/risk management.
• Growth/development of staff, including staff succession and performance management responsibilities.
• Behavior and adherence to company values.
• Affiliate satisfaction level (platform client).

EDUCATION AND EXPERIENCE

• Bachelors degree or equivalent experience with concentrations in Business, Finance, or Economics.
• 5+ years of experience with the Advent system.
• 7+ years of experience in investment advisory firm or financial institution in the operations area or the portfolio accounting area; or other relevant financial / investment management experience.
• Advanced knowledge of Excel
• Strong understanding of the investment management industry.

April 30, 2008

POSITION: Information Technology Manager (ITM)

REPORTS TO: COO

DATE: April 21, 2008

ABOUT WEALTHTRUST

WealthTrust LLC, a Nashville, TN-based holding company, is a strategic financial partner for U.S.-based investment management firms which provide comprehensive wealth management services to select individuals and families. WealthTrust strengthens each affiliate with a strong platform of services, including finance, accounting, human resources, technology, marketing, operations, legal, and compliance. This allows affiliates’ maximum time to focus on achieving each client’s goals and objectives.

We hold an equity interest in eleven affiliated investment management firms across the United States which has approximately $8.6 billion in client assets collectively. WealthTrust’s geographical footprint, established integrated support services, and vision for growth make it a platform that is well-positioned to capitalize on current industry trends.

JOB SUMMARY

The ITM is responsible for establishing the plans and administrating the overall policies and goals for information technology for WealthTrust LLC in support of the platform. This encompasses all computer hardware and software applications, security and maintenance, and business continuity; this position supports all affiliates and is a platform role.

Additionally, this individual maintains adequate knowled