SUMMARY: Reports to and supports President/CEO in all investment related functions. Specific areas of responsibility include portfolio management, investment research, performance measurement, compliance monitoring, verbal and written client communications, marketing/new business development, and participation in client and prospective client meetings.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned. 1. Portfolio Management: Assist President/CEO in managing client accounts. Requires constant and consistent assessment of capital market conditions, individual security positions held in each portfolio, open trades, and potential security purchases/sales. 2. Investment Research: Determine appropriate sectors/securities to be researched. Ensure that research results are implemented through portfolio structuring decisions, and performance of selected securities monitored daily. Coordinate and prepare for weekly investment policy committee meeting to review existing investments and research related to new investments. 3. Performance Measurement: Review portfolio performance results for accuracy and reasonableness. Conduct analysis of results versus appropriate market benchmarks, and work to understand specific sources of over/under performance. Assist Operations Manager in ensuring compliance with CFA Institute and regulatory requirements for maintaining historical client and composite results. 4. Compliance Monitoring: Work with Operations Manager to ensure all investment related activities and information complies with regulatory requirements including trade allocations, client and composite performance results, and marketing materials including all appropriate disclosures. 5. Communications: Field investment oriented client and prospective client phone calls, and participate in client and prospective client meetings, as needed. Create content for newsletter, web site, and other written client communications. 6. Technology: Assist in researching and approving investment related technology projects. 7. Business Development: Assist President/CEO in business development efforts including marketing plan, cultivation of relationships with key referral sources, brochure and web site design, and ad campaigns. 8. General: Perform related responsibilities as required or assigned.
SUPERVISORY RESPONSIBILITIES: Carries out supervisory responsibilities in accordance with company policies and applicable laws. Responsibilities include interviewing, hiring and training employees; planning, assigning, and directing work; appraising performance, rewarding and disciplining employees; addressing complaints and resolving problems.
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