Asset Manager seeks Associate to work as part of a team with several Financial Advisors. Wonderful opportunity for exposure to all aspects of asset management. College educated and relevant industry experience. Candidate must possess strong skills in all of the following areas: analytical, written/oral communication, organizational, computer. Must also be detail-oriented, able to work well underpressure and be a team player.

Responsibilities:
Responsible for all aspects of client servicing, which involves: heavy client interaction and problem solving for high net worth prospects, clients and intermediaries. Provide service and support functions such as, portfolio analysis, account creation, maintenance and reconciliation, special projects, preparation of marketing/prospecting presentations. General office management skills are required and include, phone coverage, correspondence, database maintenance, financial reporting.

Asset Manager seeks an Administrative Assistant to assist a Private Client team with all administrative functions. The team will consist of up to four professionals and up to three Associates. Minimum of two year of administrative or executive support to multi managers within the financial industry. Proficient in Microsoft Word and Excel, PowerPoint (Windows) and Adobe Acrobat Professionalism and good interpersonal skills are essential. Must be able to work effectively under pressure and meet deadlines.

Responsibilities:
Duties:answering phones, correspondence, expense reports, scheduling meetings/appointments, spreadsheets, preparing presentations, reception coverage, and database input/maintenance.

Required: Degree. Minimum five+ years of investment operations or securities data management, Strong fixed-income product knowledge, particularly bank loans, CLO’s, CDO’s variable rates securities, derivatives and fixed income securities. Hedge fund or private equity experience is a plus. Previous supervisory experience is required. Previous experience with pricing and security setup (SMF) is required. Experience with one of the following required: Wall Street Office, Advent Geneva, Thomson’s Portia system, CDO Suite and BB Trading. Bloomberg Trading is a plus. Highly proficient in Microsoft Excel – knowledge of formulae a must (e.g. “vlookup”). Knowledge of BB API a big plus.

Responsibilities:
The Data Integrity group is responsible to verify and maintain all data related to securities processing in the firms recordkeeping system.

The candidate will work directly with the operations team. Requirements: A Bachelor’s degree. Minimum 3 years of financial services industry experience. Good understanding of the securities industry. High level of proficiency in Microsoft Office applications FIN, INDATA and Bloomberg.

Responsibilities:
Duties include: working with clients, consultants and custodians to establish new accounts, processing new account documents including AML/KYC administration, data entry of new account information, including the set up and entry of securities data, 13f data gathering and reporting, cross train and assist in all other areas of operations including account reconciliation, trade settlements, client reporting, proxy voting and account maintenance.

The successful candidate will join the marketing communications team in reporting company and investment strategy data to consultants and other intermediaries. Minimum of two years of relevant experience. Bachelor’s degree.

Responsibilities:
The MCA’s duties will include completing consultant questionnaires and RFPs as well as gathering, computing, analyzing and organizing statistical data. The MCA will also perform attribution analyses on client portfolios and assist portfolio managers in preparing materials for client and prospective client meetings.

Daily fund accounting for separately managed accounts whose assets are concentrated in the bank debt and high yield investments. Minimum two years of fund accounting within investment management firm,strong fixed-income product knowledge, particularly bank loans, CLO’s, CDO’s variable rates securities, derivatives and fixed income securities, understanding of basic accounting theories, hedge fund or private equity experience is a plus. Computer Skills: Knowledge of at least one of the following is desirable: Advent Geneva, Wall Street Office. Highly proficient in Microsoft Excel – knowledge of formulae a must (e.g. “vlookup”) Basic knowledge of Bloomberg.

Responsibilities:
Responsibilities include daily preparation and research of cash reconciliations (70% time allocation), preparation of month end par reconciliations (10% time allocation), preparations of monthly and quarterly reporting requirements (10% time allocation), and month end review to close out portfolios for downstream performance deadlines and deliverables (10% time allocation.

This position will work very closely with various business units within the organization to leverage systems and subject matter expertise as a part of the overall compliance and risk oversight process. B.S. in Accounting, Finance or J.D. in Law or equivalent major required, with an advanced degree preferred. At least four or more years of industry-related compliance and/or audit experience required. Strong working knowledge of complex investment industry regulatory guidelines, or a proven proficiency with similarly intricate data, as well as experience with developing controls, preferably in a SAS 70 environment, are required.

Responsibilities:
Chief responsibility will be to execute and enhance the controls and testing programs needed to support the adherence to and oversight of industry/company guidelines, client-mandated restrictions/reporting as well as regulatory requirements during the investment management process for a rapidly growing investment advisor. The Compliance Specialist will also serve as a liaison with the parent firm’s Compliance Department. Position is responsible for serving as an internal consultant for Compliance as well as a liaison with all other areas within the organization impacted by 206(4)-7 testing oversight and review.

This position will provide on-site compliance support for the firm's West Los Angeles based employees (FAS, Institutional, and trading). At least four years compliance experience with an investment advisor or mutual fund company. Bachelor's degree in Finance, Accounting, Economics and/or equivalent work experience Well-developed computer skills; intermediate to expert use of MS Office is a must. Previous experience with trade compliance applications is a plus.

Responsibilities:
Trade/portfolio monitoring and exception reporting. Requirements analysis, design, testing, and management of rules in the firms pre- and post- trade compliance systems. Review advertising, sales, and institutional materials for compliance with industry regulations as well as firms policy and procedures. Support sub-advisor reporting obligations.

Solid understanding of CDO mechanics and documentation a MUST; CLO experience preferred. Work closely with Investment Analytics for purposes of portfolio analysis. Work with Accounting and Operations Departments on special projects. Four year college degree. Minimum 5 years experience working with CDOs. Ideal candidate will demonstrate strong research and analytical skills; must be detail-oriented, and understand the risks inherent in the CDO product. Must be proficient in Excel. Familiarity with Bloomberg is necessary.

Responsibilities:
Will be required to model CLO waterfalls as outlined in governing documents. Review trustee’s monthly and quarterly payment reports comprising of limitation tests, portfolio activity, and collateral quality tests. Independently calculate and review priority of payment numbers for Payment Dates. Review and monitor portfolio asset ratings; understanding of ratings derivations as outlined in governing documents is a must. Create hypothetical trading scenarios. Prepare adhoc portfolio reports and analysis as requested by Senior Management and Portfolio Management team.

Oversee mutual fund cash flow controls (Rule 22c-2), Anti-Money Laundering programs and other Fund and Advisor operations-related compliance controls •Must have eight plus years of prior experience in compliance environment at an investment advisor or mutual fund company •Bachelor's degree in Accounting, Finance, Economics or related field •Detailed knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 •Experience with Back Office Service Providers •Solid understanding of common industry practices •Excellent verbal and written communication skills, with the ability to translate complex information and situations into a clear and simple message •Excellent interpersonal skills •Able to work well in a fast-paced environment •Able to work equally well in a team environment and independently •Self-starter who is capable of managing multiple projects and meeting deadlines •Strong computer skills (Excel and Access) with the ability to learn programs as needed •Must have a Series 7; Series 24 preferred

Responsibilities:
•Lead operations compliance programs for investemnt advisors, mutual funds, and limited purpose broker-dealer •Provide oversight of back-office service providers •Senior compliance support to all business groups. •Provide advice and guidance to the firm and its employees on complex Investment Advisers Act, Investment Company Act, ERISA, and FINRA regulations •Interface with portfolio managers, traders, legal, and domestic and foreign regulators •Enhance, develop and implement compliance policies and procedures

The candidate will work directly with the operations team. A Bachelor’s degree, preferably with a major in Accounting, Finance, Business Administration, or Economics. Minimum 2 years of financial services industry experience. Good understanding of the securities industry. High level of proficiency in Microsoft Office applications including Excel and Word. Working knowledge of FIN, INDATA, EVARE, Bloomberg and LotusNotes helpful.

Responsibilities:
Duties include but are not limited to: custodian statement reconciliation, daily administration of mutual fund accounts including trade reporting, account reconciliation, and validation of NAV. Plus, cross train in other areas of operations.

Los Angeles-based investment management firm seeks an independent consultant to assist in the development and documentation of a propriety trading platform and associated decision support tools. Please note: This position is on-site and requires prior experience developing applications for an electronic trading environment. Local candidates only. Required Skills: Strong documentation skills ColdFusion Microsoft VB.NET, C# Microsoft SQL Server 2000/05 JavaScript HTML Desired Skills: Prior experience with Bloomberg/IDC APIs

Responsibilities:
The consultant will assume a lead role in migrating existing ColdFusion MX 7 code to the Microsoft .NET Framework, simultaneously documenting system functionality in accordance with best practices. Additionally, the consultant will assist in enhancing existing systems and in developing new systems. Clean, well-organized programming and documentation practices are a must; candidates will be asked to supply examples of same. Duties Include: Migrate code (ColdFusion to .NET) Documentation system functionality Develop enhancements to existing applications Troubleshoot, bug-fix, often under pressure Interact closely with our development team Interact directly with our trading desk Evaluate emerging technologies