Trader/Investment Analyst at Registered Investment Advisor Firm

OVERVIEW

Work with our senior portfolio managers and trade execution team to administer, manage, and enhance our portfolio management and investment research services to clients. Successful analysts will be given greater responsibility and growth opportunities.

PURPOSE

• Ensure a high quality of service by handling elements of trade execution, investment research, and messaging related to client investment portfolios.
• Assist our investment team to improve investment selection, order management, and communications.
• Help fulfill our core purpose of empowering clients to lead impactful lives.

KEY RESPONSIBILITIES

• Act as an intermediary between client advisors, our operations team, and investment policymakers.
• Administer trading systems and target portfolios.
• Assist with multiple projects involving investment due diligence, client relations, portfolio management, and process improvement.

JOB FUNCTIONS

• Assist with monitoring client portfolios through periodic reviews and targeted assessments.
• Complete routine trades involving equities, mutual funds, fixed income, private funds, employee retirement plans, etc.
• Monitor cash flows and assist with Tamarac cash reserve changes to ensure accurate and predicable trading activity.
• Assist with due diligence of existing and potential investments including publicly traded securities (mutual funds, ETFs, etc.) as well as some private funds.
• Conduct market and asset class research to support firmwide investment policy.
• Help develop client communications to showcase our approach and thought leadership.
• Support operations team members when needed, including assisting with profiling new securities, creating custom report templates, substantiating valuation data, etc.
• Assist in designing and maintaining proprietary allocation models and overlays in Tamarac and other software.
• Help maintain investment policy records, individual account settings, and related notes.
• Handle ad hoc portfolio activity including legacy positions, maturing securities, journals and transfers among managed and unmanaged accounts.
• Observe practice standards and regulatory requirements while supporting firmwide compliance.
• Execute post-trade tasks including trade and allocation reconciliations, trade error corrections, and regulatory compliance reporting.
• Learn our software and procedures and eventually help make improvements or changes to help us work smarter.

QUALIFICATIONS

• We think that a good personality and trustworthiness are essential, so we are open to training an entry-level candidate with a varied background, or to welcoming a seasoned professional who can hit the ground running.
• Have - or working toward – an advanced investment management certification or degree such as the CFA charter.
• Familiarity with investment research services and software such as Morningstar Direct.
• Fundamental knowledge of public and privately traded securities, capital markets, asset classes, and economics.
• Ability and desire to learn software and technology systems that work across a diverse set of business matters.
• High-level of capability with Excel spreadsheets and Microsoft Office suite; Salesforce a plus.
• Deal thoughtfully with others including our staff, consultants, and vendors.
• Able to quickly grasp interdependencies and multi-step processes and procedures.
• Excellent English written and verbal communication skills.
• Creative problem solving skills; and an effective decision maker.
• Able to: Remain in a stationary position 50% of the time; lift or move office related items weighing up to 20 pounds around the office; use telephone and computer systems.
• Work effectively in our La Jolla office, which can be quiet or moderately noisy at times.

SALARY AND BENEFITS

• Generous PTO and Holidays.
• Health insurance.
• 401(k) with company contribution (Safe Harbor).
• Opportunities for continuous learning and growth.
• Hybrid work available.
• Monthly “lunch ‘n learns”, employee social or team building events.

BEHAVIORAL ATTRIBUTES

• Comfortable in a small business, entrepreneurial environment, where self-drive and autonomy is expected, and change is commonplace.
• Takes pride in achieving personal and team objectives.
• Consistently follows the highest standards and business and professional ethics with work activities.
• Lifelong learner that keeps pace with changes and trends, and acquires the knowledge/skills to further personal, professional, and team capabilities.
• Very organized and detail oriented, cares about quality and timeliness.

ABOUT US

Founded in 1991, we are an independent financial advisory firm that provides Wealth Management Services to successful families and professionals. Our team of 12 employees provides ongoing services to long-term clients - we do not take commissions or use high pressure tactics to sell financial products.

Through our EXPERT Advisory Process™, we provide personalized advice and investment strategies that are coordinated with our client's CPA, attorney, and the rest of their professional team - giving our clients the clarity and confidence to focus on everything else they care about. Our purpose is to empower our clients to lead impactful lives.

• 12 employees, 5 of whom are primarily advisors
• 2 employees work remotely full-time, several work hybrid
• Registered Investment Advisor regulated by the Securities and Exchange Commission
• Founded in 1991