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Director of Investment Advisory Services

Employer
TFG
Location
Newport Beach, California
Salary
Competitive
Closing date
Jan 7, 2020
  • Director of Investment Advisory Services
  • Tax & Financial Group is seeking a full time Director of Investment Advisory Services to lead our investment team and work with our highly successful financial advisors. This position requires one of the following designations:  Certified Financial Analyst (CFA) or CFA Candidate, Accredited Asset Management Specialist (AAMS), and/or Certified Investment Management Analyst (CIMA) among other requirements listed below.
  • Primary responsibilities include:
  • Investment Strategy and Portfolio Management
    • Evaluate and make recommendations to the investment committee on updates to the firm’s model portfolios and/or firm-level preferred list
    • Organize and chair investment committee meetings on a quarterly basis
    • Manage the firm’s limited discretion program including managing the model portfolios and overseeing rebalance events
    • Provide assistance to the compliance team in its monitoring drift and other issues
  • Advisor Support and Communications
    • Prepare and distribute analysis, discussion and talking points related to the markets and the firm’s models and preferred holdings on a regular basis
    • Communicate significant changes to model portfolios and preferred lists and rationale behind such changes
    • Communicate significant changes to policies, processes, paperwork, etc. as needed and appropriate
    • Prepare and/or oversee preparation of investment proposals for prospective clients
    • Meet with our advisors’ prospective and existing clients to elaborate on the firm’s investment philosophy, approach and capabilities
    • Collaborate with advisors on advanced case design for clients with unique or complex needs
    • Organize advisor recognition including appreciation events and initiatives such as annual investments dinner
  • Marketing and Partner Relations
    • Represent the firm in the community and with clients and communicate the firm’s overall philosophy, capabilities and approach related to managing investments
    • Prepare and distribute quarterly market commentary to the firm
    • Periodically write articles or white papers on investment issues of current interest to clients and advisors
    • Work closely with many people at our RIA, Securian Financial Services, to collaborate on a wide range of issues
    • Develop and maintain relationships with wholesalers and TAMPs to remain current on knowledge of products and services and serve as key point of contact for the firm
  • Training and Education
    • Provide and/or coordinate ongoing training and education for the advisors and staff on topics including investments, markets, economics, policies and procedures, systems and technologies, best practices, and other relevant topics
  • Supervision of Administrative and Trading Teams
    • Supervise the trading desk and the investment administrative team, including planning assigning and directing work; appraising performance; coordinating appropriate training; and other traditional supervisory responsibilities
    • Investment administration includes assisting with account applications and other forms, asset movement, client notices, preparation for client review meetings, and other administrative support
    • As needed, establishing new departmental policies and procedures to adapt to changes in technology, best practices, and compliance requirements
  • Management Reporting
    • Regularly prepare reports for management and for compliance related to various aspects of IA operations and results
    • Provide input and analysis for strategy for growth and evolution of the firm’s investment business and services
  • Requirements:
    • Certified Financial Analyst (CFA) or CFA Candidate, Accredited Asset Management Specialist (AAMS), and/or Certified Investment Management Analyst (CIMA)
    • CFP designation a plus
    • Must meet background check and fingerprinting requirements
    • Obtain and Maintain Series 7 and 66 Securities Registrations and appointment as an Investment Advisor Representative and Registered Representative with Securian Financial Services.
    • Bachelor’s Degree-Preferred major in Business, Finance, Economics or other technical areas
    • 5 years of experience in the financial services industry
    • Advanced User of Microsoft Office
    • A strong understanding of Modern Portfolio Theory
    • Experience and knowledge of investment products including stocks, bonds, mutual funds, ETFs, annuities and retirement plans
    • Excellent communication and presentation skills
    • This role will require becoming a Registered Representative (RR) and Investment Advisor Representative (IAR) with Securian Financial Services. As RR and IAR, you will be required to accurately disclose and update information on Form U4 including disclosure forms such as those related to any outside business activities or private investments and promptly disclose any material changes in accordance with the requirements of FINRA and the policies of Securian Financial Services.
    • Professional appearance and demeanor
  • Company Information:
    • Tax & Financial Group, Newport Beach, CA 92660
    • For nearly 50 years, Tax & Financial Group (TFG) has been a leader in developing intelligent long term strategies that meet the financial needs of individuals and businesses throughout Southern California.  TFG is Headquartered in Newport Beach, with offices throughout Southern California as well as in Texas, Ohio, Colorado, and Honolulu and was named in the top 10 of the Orange County Business Journal’s 2019 List of Financial Advisors/Brokers. To learn more about TFG you can visit our website at www.tfgroup.com.

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