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Director: Investment Services

Company: Tax & Financial Group
Location: Orange
Posted on: November 14, 2019

Job Description:

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 a CFA or CFA candidate among other requirements listed below. -Primary responsibilities include:Investment Strategy and Portfolio ManagementEvaluate and make recommendations to the investment committee on updates to the firm"---s model portfolios and/or firm-level preferred listOrganize and chair investment committee meetings on a quarterly basisManage the firm"---s limited discretion program including managing the model portfolios and overseeing rebalance eventsProvide assistance to the compliance team in its monitoring drift and other issuesAdvisor Support and CommunicationsPrepare and distribute analysis, discussion and talking points related to the markets and the firm"---s models and preferred holdings on a regular basisCommunicate significant changes to model portfolios and preferred lists and rationale behind such changesCommunicate significant changes to policies, processes, paperwork, etc. as needed and appropriatePrepare and/or oversee preparation of investment proposals for prospective clientsMeet with our advisors"--- prospective and existing clients to elaborate on the firm"---s investment philosophy, approach and capabilitiesCollaborate with advisors on advanced case design for clients with unique or complex needsOrganize advisor recognition including appreciation events and initiatives such as annual investments dinnerMarketing and Partner RelationsRepresent the firm in the community and with clients and communicate the firm"---s overall philosophy, capabilities and approach related to managing investmentsPrepare and distribute quarterly market commentary to the firmPeriodically write articles or white papers on investment issues of current interest to clients and advisorsWork closely with many people at our RIA, Securian Financial Services, to collaborate on a wide range of issuesDevelop 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 firmTraining and EducationProvide 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 topicsSupervision of Administrative and Trading TeamsSupervise the trading desk and the investment administrative team, including planning assigning and directing work; appraising performance; coordinating appropriate training; and other traditional supervisory responsibilitiesInvestment administration includes assisting with account applications and other forms, asset movement, client notices, preparation for client review meetings, and other administrative supportAs needed, establishing new departmental policies and procedures to adapt to changes in technology, best practices, and compliance requirementsManagement ReportingRegularly prepare reports for management and for compliance related to various aspects of IA operations and resultsProvide input and analysis for strategy for growth and evolution of the firm"---s investment business and servicesRequirements: CFA or CFA candidate requiredCFP a plusMust meet background check and fingerprinting requirementsObtain 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 areas5 years of experience in the financial services industryAdvanced User of Microsoft OfficeA strong understanding of Modern Portfolio TheoryExperience and knowledge of investment products including stocks, bonds, mutual funds, ETFs, annuities and retirement plansExcellent communication and presentation skillsThis 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 demeanorCompany Information: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 .

Keywords: Tax & Financial Group, Pasadena , Director: Investment Services, Executive , Orange, California

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