Our firm is a $450M Registered Investment Advisor in beautiful downtown San Diego, specializing in ultra-high net-worth individuals and families.

We function as a multi-family office and are looking the one person that can run our client service and operations. Being a small team, this role is critical to our success!

You will be responsible for portfolio accounting, billing, using our portfolio management software; client input and maintenance within our financial planning software;

maintaining and working with our Customer Relationship Management application for client record keeping; cash disbursements, wire transfers and client operational account activities.

You will be responsible for providing excellent client service while delivering administration of client financial accounts and associated money movement.

This is the sole Operations person within our firm so the role is diverse and will include client-specific, account-specific, and general business functions.

You will also support the Chief Compliance Officer in the operations and maintenance of the firm's regulatory compliance program.

Your main responsibilities include maintaining compliance records; preparation of monthly and quarterly reports; compilation of data for purposes of compliance reporting, coordination of compliance meetings and training and assisting in preparation of regulatory reports and filings.

We are a lower volume, high quality firm so you need to be the person that doesn’t drop balls or let things slip through the cracks.

Additionally, we each have a deep relationship with our client set. We understand that takes time, but you definitely need a true desire to build those relationships.

Specific functions include :

• Monitoring account cash balances and systematically managing around additions or distributions from client accounts
• Construction, maintenance, and production of household performance reporting
• Maintenance and construction of financial planning software for financial plan analysis and presentation
• Maintenance and use client portal, CRM (Advyzon) and integrated applications
• Quarterly client billing within our portfolio accounting software, Advyzon
• Interfacing with our custodian, Charles Schwab, regarding ongoing transactions and account maintenance
• Delivery of superior client service in interaction in regard to operational needs
• Compliance maintenance and duties
• Receiving clients and guests at our downtown San Diego offices
• Preparing for client and vendor meetings
• Receiving client phone calls
• Managing office maintenance and supplies procurement
• Supporting Advisor and Directory of Research in various operations functions

The ideal candidate :

• Excellent client service and interpersonal skills
• High attention to detail
• Extremely reliable and self-motivated individual
• Minimum five years of experience working within the securities industry preferably within an RIA or Broker Dealer serving retail clientele
• Bachelor’s Degree in finance, business or accounting, or equivalent experience
• Experience in a Compliance role within a brokerage firm or Registered Investment Adviser preferred
• Experience working with portfolio accounting software
• Prior familiarity with financial planning software a plus, but not a requirement
• Prior experience with Contact Relationship Management software

Last updated : 2024-04-29