Seeking Talented Professionals
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Despite continual advancements in technology, it can still be difficult to find the person for your staffing needs. Unlike other recruiters, we specialize in Trust and Wealth Management. We have over 25 years of experience in placing qualified individuals at the right company. We understand what you're looking for and can help you find it.
At Financial Headhunters Services, we use 45 different attributes to track our candidates. This allows us to quickly focus in on the best possible match for your staffing needs. We’ll never waste your time with unqualified and unmotivated candidates. Finding qualified individuals for your job opening doesn’t have to be a difficult task. Let Financial Headhunters Services help.
It can be a very daunting task finding the right people for your staffing needs. Financial Headhunters Services understands your needs and represents some of the most talented Trust and Wealth Management professionals. Let us help find the perfect candidate for your business.
#09815: VP Employee Benefit Officer – Currently employed by a large 401(k) provider with responsibility for handling relationships for over 50 accounts worth over $50 million. Heavy client contact and possesses strong technical knowledge, along with a customer service personality. Willing to relocate. Salary $70,000 plus bonus.
#17665: Retirement Plan Administrator – Bachelor of Arts, FINRA 6, 63, ASPPA: RPF-1, C-1. Professional with over 25 years in retirement plan consulting and administration. Prior supervisory experience in plan conversions department. Manages activities related to daily-valued retirement plans. Advises clients on plan design and regulatory issues. Mentors and trains co-workers. Salary $75,000. Willing to relocate.
#31568: Manager - Retirement Plans Unit – QKA, QPA, Bachelor of Science. Oversees the administration for 401(k), Safe Harbor, and Profit-Sharing plans. Supervises three administrative support staff and manages the transfers, terminations and conversions of retirement plans. Duties include implementing new procedures and processes, along with conducting client meetings and consulting services. Salary $75,000. Willing to work as a remote employee.
#09148: VP - Retirement Plan Administrator - AIF QKA, PPC. Over twenty years of progressive retirement plan administration and servicing experience with both national and regional providers. Has managed up to five (5) supervisors and a total staff of 40 employees. Established two new regional administrative units for two different national firms. Excellent customer presentation skills. Duties have included plan document, adoption agreement and amendment preparation, as well as on-going plan administration, compliance testing, and 5500 preparation. Systems experience includes ASC (recordkeeping, document and 5500 modules), SunGard Systems, SRT and DST-Trac. In addition, has a solid knowledge of EB operations, systems and conversions. Seeking position in Dallas, Austin or Houston, TX. Salary $90,000.
#27309: Retirement Plan Consultant – CPC, QPA, QKA, Bachelor of Arts – Mathematics. An experienced retirement plan consultant skilled in all aspects of defined contribution plan third party administrative services. Manages the delivery of services to employees and plans sponsors, including compliance testing, reporting, and governmental filings. Responsible for client satisfaction and directing technical staff. Systems experience includes Relius Administration and FT Williams. Seeking opportunities in retirement plan consulting as remote employee. Travel up to 50% is acceptable. Salary $95,000.
#38912: Regional Manager - Employee Benefit Plans – College degree. CEBS designation and over twenty years of progressive experience. Responsible for overseeing all activities for a regional 401(k) provider, which includes managing a staff of eight people. Possesses a strong mix of leadership, communication and technical skills. Willing to relocate. Salary $95,000 plus bonus.
#08317: EB Recordkeeper. College degree. Stable job history. Currently handles ACP/ADP testing, statements, compliance, etc., for a variety of retirement plans. Also works directly with plan participants and has ESOP experience. A bright professional with the ability to work independently. Willing to relocate. Salary $57,000.
#07377: Sr. EB Recordkeeper. Ten+ years of well-rounded EB experience includes ACP/ADP testing, 5500 preparation, statements, contributions, asset reconciliation, and distributions. Possesses the ability to communicate clearly and work effectively with plan sponsors and participants. Willing to relocate. Salary $60,000.
#19319: Conversion Specialist. Business degree and over ten years of progressive 401(k) experience that includes conversions & implementations, recordkeeping, testing, compliance and plan design. Some supervisory background and contact with plan sponsors. Bright and able to communicate effectively. Willing to relocate. Salary $62,000.
#01163: Retirement Plan Relationship Manager – Bachelor of Science, PA-1A & 1B, FINRA 6, 63. Responsible for managing twenty-five clients, each with multiple retirement plans and assets in excess of $2 billion. Provide fiduciary training and best practices to senior management teams. Implement plan design, participant education solutions and collaborate with third-party consultants to improve plans. Lead role in final sales presentations and has executed over twenty complex retirement plan mergers. Excellent interpersonal and communication skills. Open to traveling 50% of time. Salary $120,000, plus bonus for client retention. Seeking remote opportunities.
#10833: VP Retirement Plan Services – AIFA, Bachelor of Science. Retirement Plan Services professional with over 20 years leading the business line serving 401(k), 403(b), Cash Balance and Defined Benefit clients. Responsible for sales growth, client relationship management, and retirement plans administrative services. Implemented all strategic planning, negotiated selling agreements, and managed the overall profit/loss for the unit. Excellent leadership skills and proven track record of recruiting and motivating professional staff. Seeking Midwest or East Coast opportunities. Salary $150,000.
#11738: Personal Trust Officer - CTFA, – Bachelor of Business Administration. A bright and articulate trust professional with five years of experience administering personal trusts, conservatorships, agencies, and estate administration. Provides estate and financial planning services to grantors and beneficiaries. Oversees the allocation of investments and assists in required tax filings for fiduciary relationships. Good exposure to managing unique assets, including oil, gas, mineral rights, farm, and ranch properties. Salary $60,000. Single, renting, and open to relocation to Texas, Oklahoma, and Colorado.
#18447: VP & Personal Trust Officer – JD, undergraduate from large school. Over ten years of legal and trust experience. Working for a community-based handled the administration for a wide variety of personal trust accounts. Previously worked for an estate planning attorney. Solid communication skills. Salary $62,000 plus bonus.
#09606: Personal Trust Officer – MBA, Cannon Trust School Currently responsible for managing 150 relationships providing personal trust services both directly to beneficiaries and in partnership with financial advisors and other trustees. Reviews trust documents to ensure compliance with the governing statutes. Calculates client distributions, taxes due by clients and the depletion schedules. Strong focus on account management, client service and trust operations. Seeking a remote trust administration position. Salary $65,000.
#11575: Asst. Vice President Personal Trust & Investment Officer - Bachelor of Arts, Cannon Financial Personal Trust I, II, III. A stable job history and progressive work experience highlight this 20 year trust career. Handles over 200 accounts with over $200 million in assets. Strong experience as a trust officer responsible for the administration of a variety of personal trusts, guardianships, investment management, agencies accounts and estate administration. Relationship management duties include deepening the client experience, new business development, interpreting trust documents, and researching technical issues. Trust investment management duties include constructing investment portfolios tailored to clients’ objectives, investment research for individual securities, and developing mutual fund models. In addition, prepares monthly economic forecasts and the investment newsletter for distribution. Salary $75,000 and business development incentive program.
#27305: VP Trust Officer – Bachelor of Science. Currently with a regional trust provider managing 150+ personal trusts and individual retirement accounts. Supervises one assistant. Experienced in managing real assets including producing mineral properties and timberland. Actively pursues new business opportunities through extensive external centers of influence. Strong client retention skills. Salary $75,000 plus new business incentive plan.
#23098: VP Personal Trust Officer – JD, CTFA. Prior ten-year legal career compliments current trust administrator’s experience. Manages revocable and irrevocable personal trusts, administers estates, investment management accounts and charitable trusts. Recognized by senior management team for the ability to interpret trust documents, new revenue generated annually, and strong client retention success. Excellent written and oral skills. A compassionate listener capable of strengthening client relationships. Base salary $100,000 and new business incentives. Single and open to relocation.
#00245: Managing Director Sr. Trust Officer CTFA, CFP®, MBA. Description: Over thirty years’ experience delivering trust and wealth management solutions to high-net-worth clients. Reviews trust documents for legal, tax and investment requirements. Develops relationships with beneficiaries and outside advisors to effectively carry out trusts’ desired outcomes. Possesses comprehensive gifting techniques, income and generation skipping tax strategies. Generates new business from existing clients, internal referrals, and local centers of influence. Excellent interpersonal skills. Seeking position in the Carolinas and/or Georgia. Base salary $125,000 plus new business incentive and company bonus program.
#21798: VP of Private Banking – Business degree coupled with over ten years of private banking and sales experience. Began career in commercial credit/lending. As a Private Banker managed a $40 million portfolio (loans and deposits) as well as developing new relationships. A well-rounded professional willing to relocate. Salary $85,000 plus bonus.
#09961: VP & Private Banker – MBA and over twenty years of progressive sales, commercial lending and private banking experience. Background includes working for both nationally-recognized and regional bank groups. Possesses strong client development and retention skills. Willing to relocate. Salary $100,000 plus bonus.
#02724: Sr. VP Manager Philanthropic Services – CAP, CTFA Bachelor of Science. Over 20 years of experience providing philanthropic advice to foundations, non-profits, families, and ultra-high-net-worth individuals. Supervise and mentor philanthropic specialists and oversee revenue growth, client retention and risk management across fiduciary services. Excellent at change management and leading teams to advance product line. Seeking East Coast or remote position. Compensation $225,000 plus management bonus program and deferred compensation program.
#18447: VP & Personal Trust Officer – JD, undergraduate from large school. Over ten years of legal and trust experience. Working for a community-based handled the administration for a wide variety of personal trust accounts. Previously worked for an estate planning attorney. Solid communication skills. Salary $62,000 plus bonus.
#09606: Personal Trust Officer – MBA, Cannon Trust School Currently responsible for managing 150 relationships providing personal trust services both directly to beneficiaries and in partnership with financial advisors and other trustees. Reviews trust documents to ensure compliance with the governing statutes. Calculates client distributions, taxes due by clients and the depletion schedules. Strong focus on account management, client service and trust operations. Seeking a remote trust administration position. Salary $65,000.
#11575: Asst. Vice President Personal Trust & Investment Officer - Bachelor of Arts, Cannon Financial Personal Trust I, II, III. A stable job history and progressive work experience highlight this 20 year trust career. Handles over 200 accounts with over $200 million in assets. Strong experience as a trust officer responsible for the administration of a variety of personal trusts, guardianships, investment management, agencies accounts and estate administration. Relationship management duties include deepening the client experience, new business development, interpreting trust documents, and researching technical issues. Trust investment management duties include constructing investment portfolios tailored to clients’ objectives, investment research for individual securities, and developing mutual fund models. In addition, prepares monthly economic forecasts and the investment newsletter for distribution. Salary $75,000 and business development incentive program.
#27305: VP Trust Officer – Bachelor of Science. Currently with a regional trust provider managing 150+ personal trusts and individual retirement accounts. Supervises one assistant. Experienced in managing real assets including producing mineral properties and timberland. Actively pursues new business opportunities through extensive external centers of influence. Strong client retention skills. Salary $75,000 plus new business incentive plan.
#23098: VP Personal Trust Officer – JD, CTFA. Prior ten-year legal career compliments current trust administrator’s experience. Manages revocable and irrevocable personal trusts, administers estates, investment management accounts and charitable trusts. Recognized by senior management team for the ability to interpret trust documents, new revenue generated annually, and strong client retention success. Excellent written and oral skills. A compassionate listener capable of strengthening client relationships. Base salary $100,000 and new business incentives. Single and open to relocation.
#00245: Managing Director Sr. Trust Officer CTFA, CFP®, MBA. Description: Over thirty years’ experience delivering trust and wealth management solutions to high-net-worth clients. Reviews trust documents for legal, tax and investment requirements. Develops relationships with beneficiaries and outside advisors to effectively carry out trusts’ desired outcomes. Possesses comprehensive gifting techniques, income and generation skipping tax strategies. Generates new business from existing clients, internal referrals, and local centers of influence. Excellent interpersonal skills. Seeking position in the Carolinas and/or Georgia. Base salary $125,000 plus new business incentive and company bonus program.
#21798: VP of Private Banking – Business degree coupled with over ten years of private banking and sales experience. Began career in commercial credit/lending. As a Private Banker managed a $40 million portfolio (loans and deposits) as well as developing new relationships. A well-rounded professional willing to relocate. Salary $85,000 plus bonus.
#09961: VP & Private Banker – MBA and over twenty years of progressive sales, commercial lending and private banking experience. Background includes working for both nationally-recognized and regional bank groups. Possesses strong client development and retention skills. Willing to relocate. Salary $100,000 plus bonus.
#02724: Sr. VP Manager Philanthropic Services – CAP, CTFA Bachelor of Science. Over 20 years of experience providing philanthropic advice to foundations, non-profits, families, and ultra-high-net-worth individuals. Supervise and mentor philanthropic specialists and oversee revenue growth, client retention and risk management across fiduciary services. Excellent at change management and leading teams to advance product line. Seeking East Coast or remote position. Compensation $225,000 plus management bonus program and deferred compensation program.
#02415: Manager of Operations – Trust – CTFA. Stable job history. Currently employed by an independent bank group with responsibility for supervising three people in trust operations using the SunGard Charlotte system. Also handles the administration of over 50 personal trust accounts. Willing to relocate. Salary $54,000.
#07807: Trust Operations Specialist. A solid trust operations professional with excellent experience processing and reconciling mutual fund trades, processing cash sweeps, and money market dividends. Prepares monthly, quarterly, and annual reconciliations for trust operations unit. Responsible for settlement posting process on FIS AddVantage trust accounting system. Single and open to relocation. Salary $50,000.
#26984: Trust Operations Specialist. Three-year trust operations professional with experience in shadow accounting for dividends, management fees and interest. Processes cash sweeps, monitors estate sale and life insurance proceeds, manages mutual trade settlement, and updates the master security list. Reviews and classifies asset types and processes voluntary and involuntary corporate actions. Salary $55,000. Seeking a remote position or Alabama & Mississippi.
#13352: Trust Operations Specialist - Two years towards bachelor’s degree. Five years of experience in reconciling and balancing complex fiduciary transactions. Data entry on the trust accounting system for wire transfers, ACH, deposit accounts and transfers. Duties include settling cash and securities transactions, reconciling internal checking accounts, and printing/mailing trust checks. Provides support for investment trading activities and in reviewing trust files with trust officers. Strong knowledge of trust and securities processing activities. Compensation is $55,000. Seeking opportunities in Austin, Atlanta, Houston, or greater New York City.
#24722: Trust Operations Specialist – Bachelor of Science. A very stable job history and over ten years of trust operations experience. Systems experience includes Fi-Tek Trust/Rite, FIS-Charlotte and FIS-AddVantage. Duties have included trust system conversions, new trust account set up, processing trades for mutual funds and money market funds and processing discretionary distributions. Also experienced in corporate actions, income processing and reviewing trust documents. A bright and personable operations professional. Open to relocation. Salary $60,000
#02407: Manager – Trust Operations. A bright and talented operations professional with over 20 years experience in a trust operations. Manages and oversees all aspects of trust operations department. Monitors areas of fee processing, securities processing, income collection, daily balancing and trust accounting systems maintenance. Duties include staff training and development, as well as facilitating the preparation of fiduciary tax returns for the department. Very detail oriented, with a strong work ethic. Salary $62,000. Willing to relocate.
#00588: Trust Operations Specialist – Bachelor of Arts. Twenty-five-year trust operations professional with national trust providers. Systems experience includes FIS AddVantage, FIS Trust Desk, and DTTC Settlement Web. Prior experience managing fixed income payments processing, mutual fund dividends, and long term/short term gains. Provided coverage for mutual fund corporate actions, CUSIP set-ups, and income accruals. Supervised daily workflow on settling trades with custodians and provided direction for up to ten staff members. Base salary $65,000 and seeking remote opportunities. Additional Information
#45073: FINRA Compliance Examiner – CRCP, FINRA 7, 24, 53, 63, 66. – Over 25 years in compliance, operations and communications with brokerage firms, registered investment advisory and insurance agencies. Excellent background in mitigating risk through monitoring, auditing and reporting. Proven track record with regulators, interpreting regulations and making recommendations to Board of Directors and CEOs. Willing to relocate nation-wide. Salary $75,000
#27868: Director of Compliance - FINRA 7, 63. Duties included all compliance activities for a mid-size investment advisory firm. Ensuring all current regulations were addressed by policies and procedures. Conducted periodic risk assessments, and trained employees and management in all areas of compliance. Prior Director of Investment Operations and managed a staff of three in securities processing. Systems experience includes Tamarack and Advent Axys. Likeable personality and able to work independently. Willing to relocate. Salary $88,000 plus bonus.
#11815: Chief Compliance Officer – IACCP®, Bachelor of Science. Fifteen years of experience overseeing daily compliance for FINRA & SEC regulations. Engaged in trade monitoring and review, social media compliance, risk assessment for operational procedures, regulatory reporting, and client-related dispute resolution. Areas of expertise include SEC audits and reporting, branch location reviews, and advertising reviews. Designed and implemented a digital compliance program for multiple vendors to remove paper records from compliance program. Salary $90,000 and seeking remote opportunities.
#37671: Divisional Compliance Officer – FINRA 6,26,63, Bachelor of Science. A fifteen-year compliance professional with experience with dual registered investment advisory firms. Excellent knowledge of regulatory oversight, risk and compliance management. Interpreted federal, state and FINRA regulations. Experienced in sales, broker agreements, licensing, AML, product vetting, and risk management. Able to effectively manage field, carrier, regulator and auditor relationships. Salary $100,000 and open to relocation.
#13105: Investment Operations Specialist – B.S. A detail-oriented operations professional with extensive experience in wealth management investment operations and systems. Experience includes onboarding new client accounts, posting daily transactions, reconciliation of accounts, security setup, trade analysis, and cash movements. Strong composite and portfolio performance reporting experience. Systems experience includes: Advent Axys, APX, MorningStar Office, Envestnet, and Portfolio center. Prior supervisory experience as a team leader. Seeking investment operations and systems position with an RIA or other wealth management firm. Salary $100,000 plus bonus plan. Desires remote position.
#21179: Manager - Trust Operations: CSOP, MBA, Bachelor of Science.A senior officer with excellent experience in training, developing, and managing staff. Proven analytical, organizational, and problem-solving skills. Creates and implements departmental policies and procedures. Areas supervised include daily operations, income processing, account reconciliation, trading, vendor relationships, and report preparation for trust committee members. Salary $100,000 and up to 20% bonus. Prefers Midwest location or remote opportunities.
#29041: Trust Operations Systems Analyst – CSOP, Bachelor of Science. A bright professional with strong trust systems experience and in providing systems liaison to all areas of wealth management. Reviews, analyzes and tests system enhancements prior to full implementation. Provides senior management team with up-to-date business line information through data mining strategies. Excellent at developing internal networks in companies and process improvement through workflow analysis. Also, manages vendor relationships. Relocation throughout Ohio Valley, and Philadelphia to South Carolina. Salary $100,000.
#17728: Trust Operations Manager – Bachelor Business Administration – Accounting. A twenty year operations professional with strong management skills, trust systems upgrades/conversions and full budgetary responsibility. Areas of expertise including securities settlement, trading, tax reporting, vendor management and working with outside auditors. Base salary $100,000, plus bonus and open to relocation. #12212: VP Investment Operations – Bachelor of Science. Over fifteen years’ experience in wealth management operations. Extensive use of Advent Axys, APX, Moxy, Factset, and Bloomberg. Reconciles equity accounts, handles trade settlement issues, and maintains databases. Interfaces with custodians and maintains the relationship. Provides senior management team with investment performance reports and ensures proper reconciliation of accounts daily. Cross trained in all aspects of investment operations. Salary $150,000 plus bonus plan. Seeking a remote position.
#08317: EB Recordkeeper – College degree. Stable job history. Currently handles ACP/ADP testing, statements, compliance, etc., for a variety of retirement plans. Also works directly with plan participants and has ESOP experience. A bright professional with the ability to work independently. Willing to relocate. Salary $57,000.
#07377: Sr. EB Recordkeeper – Ten+ years of well-rounded EB experience includes ACP/ADP testing, 5500 preparation, statements, contributions, asset reconciliation, and distributions. Possesses the ability to communicate clearly and work effectively with plan sponsors and participants. Willing to relocate. Salary $60,000.
#19319: Conversion Specialist – Business degree and over ten years of progressive 401(k) experience that includes conversions & implementations, recordkeeping, testing, compliance and plan design. Some supervisory background and contact with plan sponsors. Bright and able to communicate effectively. Willing to relocate. Salary $62,000.
#09815: VP Employee Benefit Officer. Currently employed by a large 401(k) provider with responsibility for handling relationships for over 50 accounts worth over $50 million. Heavy client contact and possesses strong technical knowledge, along with a customer service personality. Willing to relocate. Salary $70,000 plus bonus.
#17665: Retirement Plan Administrator. Bachelor of Arts, FINRA 6, 63, ASPPA: RPF-1, C-1. Professional with over 20 years in retirement plan consulting and administration. Prior supervisory experience in plan conversions department. Manages activities related to daily-valued retirement plans. Advises clients on plan design and regulatory issues. Mentors and trains co-workers. Salary $75,000. Willing to relocate.
#31568: Manager - Retirement Plans Unit – QKA, QPA, Bachelor of Science. Oversees the administration for 401(k), Safe Harbor, and Profit-Sharing plans. Supervises three administrative support staff and manages the transfers, terminations and conversions of retirement plans. Duties include implementing new procedures and processes, along with conducting client meetings and consulting services. Salary $75,000. Willing to work as a remote employee.
#09148: VP - Retirement Plan Administrator - AIF QKA, PPC. Over twenty years of progressive retirement plan administration and servicing experience with both national and regional providers. Has managed up to five (5) supervisors and a total staff of 40 employees. Established two new regional administrative units for two different national firms. Excellent customer presentation skills. Duties have included plan document, adoption agreement and amendment preparation, as well as on-going plan administration, compliance testing, and 5500 preparation. Systems experience includes ASC (recordkeeping, document and 5500 modules), SunGard Systems, SRT and DST-Trac. In addition, has a solid knowledge of EB operations, systems and conversions. Seeking position in Dallas, Austin or Houston, TX. Salary $90,000.
#38912: Regional Manager. Employee Benefit Plans – College degree. CEBS designation and over twenty years of progressive experience. Responsible for overseeing all activities for a regional 401(k) provider, which includes managing a staff of eight people. Possesses a strong mix of leadership, communication and technical skills. Willing to relocate. Salary $95,000 plus bonus.
#07377: Sr. EB Recordkeeper – Ten+ years of well-rounded EB experience includes ACP/ADP testing, 5500 preparation, statements, contributions, asset reconciliation, and distributions. Possesses the ability to communicate clearly and work effectively with plan sponsors and participants. Willing to relocate. Salary $60,000.
#19319: Conversion Specialist – Business degree and over ten years of progressive 401(k) experience that includes conversions & implementations, recordkeeping, testing, compliance and plan design. Some supervisory background and contact with plan sponsors. Bright and able to communicate effectively. Willing to relocate. Salary $62,000.
#09815: VP Employee Benefit Officer. Currently employed by a large 401(k) provider with responsibility for handling relationships for over 50 accounts worth over $50 million. Heavy client contact and possesses strong technical knowledge, along with a customer service personality. Willing to relocate. Salary $70,000 plus bonus.
#17665: Retirement Plan Administrator. Bachelor of Arts, FINRA 6, 63, ASPPA: RPF-1, C-1. Professional with over 20 years in retirement plan consulting and administration. Prior supervisory experience in plan conversions department. Manages activities related to daily-valued retirement plans. Advises clients on plan design and regulatory issues. Mentors and trains co-workers. Salary $75,000. Willing to relocate.
#31568: Manager - Retirement Plans Unit – QKA, QPA, Bachelor of Science. Oversees the administration for 401(k), Safe Harbor, and Profit-Sharing plans. Supervises three administrative support staff and manages the transfers, terminations and conversions of retirement plans. Duties include implementing new procedures and processes, along with conducting client meetings and consulting services. Salary $75,000. Willing to work as a remote employee.
#09148: VP - Retirement Plan Administrator - AIF QKA, PPC. Over twenty years of progressive retirement plan administration and servicing experience with both national and regional providers. Has managed up to five (5) supervisors and a total staff of 40 employees. Established two new regional administrative units for two different national firms. Excellent customer presentation skills. Duties have included plan document, adoption agreement and amendment preparation, as well as on-going plan administration, compliance testing, and 5500 preparation. Systems experience includes ASC (recordkeeping, document and 5500 modules), SunGard Systems, SRT and DST-Trac. In addition, has a solid knowledge of EB operations, systems and conversions. Seeking position in Dallas, Austin or Houston, TX. Salary $90,000.
#38912: Regional Manager. Employee Benefit Plans – College degree. CEBS designation and over twenty years of progressive experience. Responsible for overseeing all activities for a regional 401(k) provider, which includes managing a staff of eight people. Possesses a strong mix of leadership, communication and technical skills. Willing to relocate. Salary $95,000 plus bonus.
#27310: Portfolio Manager – Finance degree. Five years of portfolio management background. Currently handles portfolios amounting to $130 million using individual equities and mutual funds. Spends 15% of time in sales and 10% in equity research. Likeable personality and willing to relocate. Salary $58,000 plus bonus.
#11134: Investment Portfolio Analyst - M.S. Accounting, B.S. Finance. Currently with a growing, independent registered investment advisor that provides portfolio management solutions to individuals, established families, and business owners. Current duties include new account setup, asset movement, communicate portfolio information to clients and the client’s requirements to investment managers. Reconciles firm’s accounts with several custodians and places trades for both equities and EFTs. Position requires studying economic trends, evaluating historical performance, preparing written performance reports utilizing Advent’s Axys® and Moxy® software applications. Salary $70,000 and seeking remote career opportunities.
#33459: Portfolio Manager – MBA, working toward CFA. Stable job history. Currently employed by a prestigious investment manager with responsibility for about 60 relationships. Also handles new business and investment research. An intelligent professional with excellent verbal skills. Willing to relocate. Salary $72,000 plus bonus.
#07140: Equity Research Analyst – CFA, MBA, BBA. Five-year professional researching individual equities in the Healthcare, Consumer Staples & Discretionary sectors. Duties include building financial models and authoring reports for presentation to investment committee. Reviews individual portfolios as to asset allocation and risk guidelines. Outstanding written and interpersonal skills. Base $85,000 plus bonus plan and stock options. Will relocate.
#52320: Sr. Research Analyst – CIMA, M.S., B.S. A seasoned investment analyst with a stable job history and is responsible for third party manager searches, as well as asset allocation strategies. Responsible for monitoring mutual funds, ETFs, hedge funds and SMAs. Designed proprietary investment analysis reporting and analyzes capital market conditions for asset allocation models. Supports new client acquisition efforts with wealth advisors. Prefers Midwest location. Base salary $100,000, plus bonus plan.
#21788: Director Investment Research – CFA. Performs mutual fund and separate account manager selection/due diligence, including detailed research reports and quarterly updates. Chairs the Investment Committee and provides investment and allocation guidance for model portfolios. Developed policies and procedures for research program. Salary $100,000, plus quarterly bonus. Very open to relocation.
#22826: Director of Research – CFA, MBA, Bachelor of Science. Experienced as both sell-side and buy-side analyst. Responsible for tracking over 30 stocks in the company’s portfolio and also tracks an additional 100 potential investment opportunities. Covers technology and materials for small-cap market. Manages commission budget and the hiring of new equity analysts. Evaluates new research services for cost savings. Salary $110,000. Willing to relocate.
#39741: VP Portfolio Manager - Bachelor of Arts, CFA®. A bright portfolio manager and trader with diverse experience in portfolio implementation for high-net-worth and institutional clients. Prior experience in equity research, developing discounted cash flow models and identifying attractive companies across several industry sectors. Currently managing over $250 million in discretionary assets for over 150 relationships. Actively participates in new business initiatives and annually reviews portfolios for adherence to investment policy statements. Salary $125,000 and open to opportunities in Mid-Atlantic states.
#34459: VP Sr. Portfolio Manager – CFA®, M.S. B.S. Working closely with high-net-worth families, this PM enjoys delivering exceptional investment service that helps clients work toward their unique goals. Establishes an integrated and holistic investment approach, offering asset allocation strategies and recommendations based on short-term and long-term financial objectives and risk tolerances. Transformed the investment department’s procedures for more standardized and measurably improved portfolios. Most recently managed over $600 million AUM. Salary $150,000. Open to relocation North/South Carolina, Texas, and Florida.
#09084: Fixed Income Securities Analyst – CFA, Bachelor of Science. A seven-year fixed income professional responsible for developing strategies and executing trades for securitized products including, MBS, CMBS, ABS and Agencies. Duties include being mindful of and discussing central bank policies, economic/market developments, and credit analysis across sectors. System experience includes Bloomberg PORT. Salary $90,000, plus bonus plan. Single, renting, and prefers Midwest or South locations.
#27419: Fixed Income Analyst – CFA, MBA, Bachelor of Science. Over fifteen years’ prior experience analysis of municipal credits, state rotation, yield curve and coupon structure. Analyzing existing municipal credit holdings and new investment ideas, while maintaining department database. Additional duties include providing support in credit modeling and historical spread valuations research. Strengths include income statement analysis and credit review. Authors special municipal credit commentaries and quarterly municipal bond articles. Base $100,000 plus group incentive plan. Open to relocation on East Coast, West Coast or Florida.
#30234: Fixed Income – VP & Sr Portfolio Manager – CFA, MBA and over twenty years of progressive experience. Managed a $400 million fixed income portfolio for taxable and tax-free separate accounts for institutional and high-net-worth clients. A bright, well-rounded professional willing to relocate. Salary $125,000 plus bonus.
#12084: Fixed Income Portfolio Manager – CFA, MBA, BBA. – Over 30 years of direct investments experience with asset managers, pension plans, hedge funds, and mortgage-backed securities issuers. Managed the fixed income allocation for common trust funds and the bank’s portfolio. Responsibilities include portfolio management, fixed income securities trading and research, loan, and mortgage hedging, as well as researching new securities initiatives for the bank’s fixed income allocation. Prior positions have included managing director at several hedge funds; investment consultant with a major non-bank mortgage servicer; and portfolio manager/director of investment research public pension plan. Salary $140,000 and open to relocation.
#05291: Sr. Fixed Income Portfolio Manager – MBA, B.S. Over twenty years of experience managing diverse and complex fixed income portfolio strategies, including hedge funds, mutual funds, and commingled funds. Broad background analyzing and trading all sectors, including corporate, municipal, and securitized issues. Previously served as lead PM for CMBS/ABS sectors. Streamlined process on monthly pricing of portfolios and expanded trading capabilities for ABS, MBS and CMBS. Base salary $150,000 plus incentive program. Willing to relocate Midwest and East Coast.
#41527: Senior Portfolio Manager – CFA, Bachelor of Arts. Over fifteen years’ experience in portfolio management for high net-worth, ultra-high net-worth investors and institutional investors. Prior experience in designing customized model portfolios for institutional clients, designing strategic asset allocation policies. Evaluated and recommended external money managers and established guidelines for the review of managers’ investment philosophy, strategy, performance and risk attribution. Base Salary $150,000, plus incentive program. Open to relocation throughout Midwest.
#19591: Senior Portfolio Manager – CFA, Bachelor of Science. A twenty-year investment professional with strong management experience overseeing $1 billion in AUM and supervising a team of portfolio managers. Developed and implemented strategic and tactical asset allocation policies for equities, bonds, alternative investments and common trust funds. Experience includes asset allocation analysis, investment manager due diligence and investment research. Cultivates strong client relationships and interacts well with team members in driving new business opportunities. Single, open to relocating to SE US and base salary $155,000.
#25464: Institutional Investment Consultant – CIPM, Master of Science. A senior consultant providing investment related services for institutional clients with $10 million to $15 billion in assets. Duties included developing asset allocation strategies, investment manager due diligence, and liability management. Previously managed the group providing identification and evaluation of top-tier, institutional asset managers. Maintained the performance reporting system and extensive public speaking experience. Excellent interpersonal skills and a strong thought process. Open to relocating throughout the Midwest. Salary $150,000 and a 25% bonus potential.
#18602: Senior Equity Analyst – MBA, Bachelor of Arts. A senior global equity analyst in an active long-only investment team with over $7 billion AUMM. Responsible in developing technology sector strategy within mid-to-large capitalization companies with a focus on hardware, and semiconductors. Provides analysis in writing and verbally after quarterly earnings calls, attends key analyst meetings and maintains companies’ financial models. Aides in the investment decisions by providing fundamental, quantitative, and market research. Base salary $160,000 and up to 100% bonus potential. Prefers a Midwest or South location.
#23887: Senior Equity Analyst – CFA, MBA, B.S. A twenty-five-year professional equity analyst with sector experience in Financial Services, Consumer Staples, Consumer Discretionary, and Chemicals. Actively participates in making investment recommendations, fundamental analysis, and research for companies under coverage. Trained and supervised three associate equity analysts. Participated in the evaluation of private equity and venture capital opportunities. Base salary $175,000 plus bonus plan. Will consider positions located in the Ohio Valley to Colorado.
#02633: Director of Investments – CFA, MBA. Strong investment background that includes both equities and fixed income portfolio management. Most recently oversaw $2 billion in assets and led team to top quartile performance relative to peers. Improved risk-adjusted returns and started an initiative to increase investment ideas. Duties included asset allocation, risk management, investment strategy development and systems. Seeking opportunities in Midwest. Base salary $180,000 plus substantial bonus program.
#21256: Chief Investment Officer – CFA, Bachelor of Science. Over fifteen years of investment management and research experience, having supervised two portfolio managers. Responsible for the overall investment strategy and asset allocation for over $1 billion AUM. Analyzed investment allocation of clients’ portfolios, set client investment objectives and constructed portfolios. Led monthly investment committee meetings and composed quarterly investment newsletter. Researched outside money managers, including mutual funds, hedge funds and alternatives. $180,000 base, plus percent of revenue and open to relocation.
#39753: VP Fixed Income Portfolio Manager – FINRA 7, 63, Bachelor of Arts. A highly motivated fixed income portfolio manager, research analyst and trader. Active across corporate bonds, municipal bonds, US Government securities and securitized products. Meets regularly with institutional investment boards, endowments, foundations, and high-net-worth families to discuss performance, yield curve positioning and security selections. Prior experience with high-yield and distressed debt issues. Clear and confident communicator. Salary $200,000.
#17595: Sr. Equity Portfolio Manager – CFA, MBA, BBA. Outstanding institutional equity manager with over 30 years of experience developing and implementing portfolio strategy, including sector and security specific weightings. Performs bottom-up fundamental research and markets investment portfolios presenting to investment committees and outside consultants. Developed quantitative screens which incorporates earnings, dividends and valuations for prospective equity vehicles. Base $260,000, with possible incentive based upon company revenue. Willing to relocate.
#11134: Investment Portfolio Analyst - M.S. Accounting, B.S. Finance. Currently with a growing, independent registered investment advisor that provides portfolio management solutions to individuals, established families, and business owners. Current duties include new account setup, asset movement, communicate portfolio information to clients and the client’s requirements to investment managers. Reconciles firm’s accounts with several custodians and places trades for both equities and EFTs. Position requires studying economic trends, evaluating historical performance, preparing written performance reports utilizing Advent’s Axys® and Moxy® software applications. Salary $70,000 and seeking remote career opportunities.
#33459: Portfolio Manager – MBA, working toward CFA. Stable job history. Currently employed by a prestigious investment manager with responsibility for about 60 relationships. Also handles new business and investment research. An intelligent professional with excellent verbal skills. Willing to relocate. Salary $72,000 plus bonus.
#07140: Equity Research Analyst – CFA, MBA, BBA. Five-year professional researching individual equities in the Healthcare, Consumer Staples & Discretionary sectors. Duties include building financial models and authoring reports for presentation to investment committee. Reviews individual portfolios as to asset allocation and risk guidelines. Outstanding written and interpersonal skills. Base $85,000 plus bonus plan and stock options. Will relocate.
#52320: Sr. Research Analyst – CIMA, M.S., B.S. A seasoned investment analyst with a stable job history and is responsible for third party manager searches, as well as asset allocation strategies. Responsible for monitoring mutual funds, ETFs, hedge funds and SMAs. Designed proprietary investment analysis reporting and analyzes capital market conditions for asset allocation models. Supports new client acquisition efforts with wealth advisors. Prefers Midwest location. Base salary $100,000, plus bonus plan.
#21788: Director Investment Research – CFA. Performs mutual fund and separate account manager selection/due diligence, including detailed research reports and quarterly updates. Chairs the Investment Committee and provides investment and allocation guidance for model portfolios. Developed policies and procedures for research program. Salary $100,000, plus quarterly bonus. Very open to relocation.
#22826: Director of Research – CFA, MBA, Bachelor of Science. Experienced as both sell-side and buy-side analyst. Responsible for tracking over 30 stocks in the company’s portfolio and also tracks an additional 100 potential investment opportunities. Covers technology and materials for small-cap market. Manages commission budget and the hiring of new equity analysts. Evaluates new research services for cost savings. Salary $110,000. Willing to relocate.
#39741: VP Portfolio Manager - Bachelor of Arts, CFA®. A bright portfolio manager and trader with diverse experience in portfolio implementation for high-net-worth and institutional clients. Prior experience in equity research, developing discounted cash flow models and identifying attractive companies across several industry sectors. Currently managing over $250 million in discretionary assets for over 150 relationships. Actively participates in new business initiatives and annually reviews portfolios for adherence to investment policy statements. Salary $125,000 and open to opportunities in Mid-Atlantic states.
#34459: VP Sr. Portfolio Manager – CFA®, M.S. B.S. Working closely with high-net-worth families, this PM enjoys delivering exceptional investment service that helps clients work toward their unique goals. Establishes an integrated and holistic investment approach, offering asset allocation strategies and recommendations based on short-term and long-term financial objectives and risk tolerances. Transformed the investment department’s procedures for more standardized and measurably improved portfolios. Most recently managed over $600 million AUM. Salary $150,000. Open to relocation North/South Carolina, Texas, and Florida.
#09084: Fixed Income Securities Analyst – CFA, Bachelor of Science. A seven-year fixed income professional responsible for developing strategies and executing trades for securitized products including, MBS, CMBS, ABS and Agencies. Duties include being mindful of and discussing central bank policies, economic/market developments, and credit analysis across sectors. System experience includes Bloomberg PORT. Salary $90,000, plus bonus plan. Single, renting, and prefers Midwest or South locations.
#27419: Fixed Income Analyst – CFA, MBA, Bachelor of Science. Over fifteen years’ prior experience analysis of municipal credits, state rotation, yield curve and coupon structure. Analyzing existing municipal credit holdings and new investment ideas, while maintaining department database. Additional duties include providing support in credit modeling and historical spread valuations research. Strengths include income statement analysis and credit review. Authors special municipal credit commentaries and quarterly municipal bond articles. Base $100,000 plus group incentive plan. Open to relocation on East Coast, West Coast or Florida.
#30234: Fixed Income – VP & Sr Portfolio Manager – CFA, MBA and over twenty years of progressive experience. Managed a $400 million fixed income portfolio for taxable and tax-free separate accounts for institutional and high-net-worth clients. A bright, well-rounded professional willing to relocate. Salary $125,000 plus bonus.
#12084: Fixed Income Portfolio Manager – CFA, MBA, BBA. – Over 30 years of direct investments experience with asset managers, pension plans, hedge funds, and mortgage-backed securities issuers. Managed the fixed income allocation for common trust funds and the bank’s portfolio. Responsibilities include portfolio management, fixed income securities trading and research, loan, and mortgage hedging, as well as researching new securities initiatives for the bank’s fixed income allocation. Prior positions have included managing director at several hedge funds; investment consultant with a major non-bank mortgage servicer; and portfolio manager/director of investment research public pension plan. Salary $140,000 and open to relocation.
#05291: Sr. Fixed Income Portfolio Manager – MBA, B.S. Over twenty years of experience managing diverse and complex fixed income portfolio strategies, including hedge funds, mutual funds, and commingled funds. Broad background analyzing and trading all sectors, including corporate, municipal, and securitized issues. Previously served as lead PM for CMBS/ABS sectors. Streamlined process on monthly pricing of portfolios and expanded trading capabilities for ABS, MBS and CMBS. Base salary $150,000 plus incentive program. Willing to relocate Midwest and East Coast.
#41527: Senior Portfolio Manager – CFA, Bachelor of Arts. Over fifteen years’ experience in portfolio management for high net-worth, ultra-high net-worth investors and institutional investors. Prior experience in designing customized model portfolios for institutional clients, designing strategic asset allocation policies. Evaluated and recommended external money managers and established guidelines for the review of managers’ investment philosophy, strategy, performance and risk attribution. Base Salary $150,000, plus incentive program. Open to relocation throughout Midwest.
#19591: Senior Portfolio Manager – CFA, Bachelor of Science. A twenty-year investment professional with strong management experience overseeing $1 billion in AUM and supervising a team of portfolio managers. Developed and implemented strategic and tactical asset allocation policies for equities, bonds, alternative investments and common trust funds. Experience includes asset allocation analysis, investment manager due diligence and investment research. Cultivates strong client relationships and interacts well with team members in driving new business opportunities. Single, open to relocating to SE US and base salary $155,000.
#25464: Institutional Investment Consultant – CIPM, Master of Science. A senior consultant providing investment related services for institutional clients with $10 million to $15 billion in assets. Duties included developing asset allocation strategies, investment manager due diligence, and liability management. Previously managed the group providing identification and evaluation of top-tier, institutional asset managers. Maintained the performance reporting system and extensive public speaking experience. Excellent interpersonal skills and a strong thought process. Open to relocating throughout the Midwest. Salary $150,000 and a 25% bonus potential.
#18602: Senior Equity Analyst – MBA, Bachelor of Arts. A senior global equity analyst in an active long-only investment team with over $7 billion AUMM. Responsible in developing technology sector strategy within mid-to-large capitalization companies with a focus on hardware, and semiconductors. Provides analysis in writing and verbally after quarterly earnings calls, attends key analyst meetings and maintains companies’ financial models. Aides in the investment decisions by providing fundamental, quantitative, and market research. Base salary $160,000 and up to 100% bonus potential. Prefers a Midwest or South location.
#23887: Senior Equity Analyst – CFA, MBA, B.S. A twenty-five-year professional equity analyst with sector experience in Financial Services, Consumer Staples, Consumer Discretionary, and Chemicals. Actively participates in making investment recommendations, fundamental analysis, and research for companies under coverage. Trained and supervised three associate equity analysts. Participated in the evaluation of private equity and venture capital opportunities. Base salary $175,000 plus bonus plan. Will consider positions located in the Ohio Valley to Colorado.
#02633: Director of Investments – CFA, MBA. Strong investment background that includes both equities and fixed income portfolio management. Most recently oversaw $2 billion in assets and led team to top quartile performance relative to peers. Improved risk-adjusted returns and started an initiative to increase investment ideas. Duties included asset allocation, risk management, investment strategy development and systems. Seeking opportunities in Midwest. Base salary $180,000 plus substantial bonus program.
#21256: Chief Investment Officer – CFA, Bachelor of Science. Over fifteen years of investment management and research experience, having supervised two portfolio managers. Responsible for the overall investment strategy and asset allocation for over $1 billion AUM. Analyzed investment allocation of clients’ portfolios, set client investment objectives and constructed portfolios. Led monthly investment committee meetings and composed quarterly investment newsletter. Researched outside money managers, including mutual funds, hedge funds and alternatives. $180,000 base, plus percent of revenue and open to relocation.
#39753: VP Fixed Income Portfolio Manager – FINRA 7, 63, Bachelor of Arts. A highly motivated fixed income portfolio manager, research analyst and trader. Active across corporate bonds, municipal bonds, US Government securities and securitized products. Meets regularly with institutional investment boards, endowments, foundations, and high-net-worth families to discuss performance, yield curve positioning and security selections. Prior experience with high-yield and distressed debt issues. Clear and confident communicator. Salary $200,000.
#17595: Sr. Equity Portfolio Manager – CFA, MBA, BBA. Outstanding institutional equity manager with over 30 years of experience developing and implementing portfolio strategy, including sector and security specific weightings. Performs bottom-up fundamental research and markets investment portfolios presenting to investment committees and outside consultants. Developed quantitative screens which incorporates earnings, dividends and valuations for prospective equity vehicles. Base $260,000, with possible incentive based upon company revenue. Willing to relocate.
#22114: Investment Advisor – CFP®, BBA Accounting. Approximately twenty years of sales and financial services background. Stable job history and strong communicator. Currently works for a mid-size RIA with responsibility for establishing relationships with businesses, retirees, families and individuals. Strong referral base with strategic partners including estate planning attorneys, accountants and commercial bankers. Willing to relocate. Salary $50,000.
#20610: Regional Sales Manager – Midwest – CPA, MBA, FINRA 6 & 63. A high performing sales/marketing professional with financial services and personal trust background. Effective consultative approach to marketing and sales management. Is able to cultivate and close new business with intermediary advisors and individuals. Willing to relocate. Salary $60,000 plus commission plan.
#31143: VP - Trust New Business Development Officer – MBA, Bachelor of Science. Career has centered on trust and investment management sales, and sales training within wealth management field. Considerable experience working with high net-worth clients in both a sales and account administration capacity. A consistent producer with a likeable personality and effective client contact skills. Open to relocation and salary is $75,000 plus bonus.
#39155: VP Retirement Plan Sales Officer – Bachelor of Science. A ten-year retirement professional with experience administering qualified retirement plans and developing small-market 401(k) plans in Delaware, Maryland, Pennsylvania, and West Virginia. Establishes and maintains relationships with outside centers of influence, including CPAs and financial advisors. Sales recognition in years 2015, 2016, 2017 and 2018. Salary $100,000 and sales incentives.
#03967: Regional VP - Institutional Retirement Sales – CFP®, FINRA, Bachelor of Science. A twenty-year sales professional with an extensive portfolio of investment advisory consultants for the sale and servicing of large-market institutional retirement plans. Utilize a consultative sales process for corporate, DB, DC and 457 plans in higher education, healthcare, manufacturing and multi-employer plans. A top-qualifier for national sales conference and industry speaking engagement. Base $130,000 plus industry commission plan.
#22930: SVP & Manager of Wealth Management Sales – MBA. FINRA licensed. Over ten years of progressive experience. Currently manages trust and brokerage sales effort for a $1 billion wealth management group. Possesses excellent new business, management and leadership skills – this is a professional that knows how to grow a department. Willing to relocate. Total cash compensation $170,000.
#24748: Sr. VP Wealth Advisor – CFP®, FINRA 7, 65. Responsible for identifying prospects in the HNW market through prospecting and developing centers of influence. Establishes collaborative partnerships with internal referral sources. Develops customized wealth management strategies to meet clients’ needs. Extensive use of eMoney planning software. Experienced in designing and implementing strategies to increase sales, improve service delivery and manage team performance. Seeking opportunities in Colorado, Georgia, or Florida. Base $170,000 plus strong incentive program.
#21856: External Wholesaler - FINRA 7, 6, 63, Life & Health Insurance. Financial services professional with nearly twenty years experience selling annuities - fixed & variable, separately managed accounts and mutual funds. Strong distribution through independent advisors and bank channel clients. Extensive exposure to western US. Able to build lasting relationships with advisors and provide strong presentations for end-users. Travels extensively. Base salary $65,000 plus incentive plan.
#36771: Regional VP & Wholesaler FINRA, CRPC, CMFC. – With over twenty years of asset management sales, third-party distribution and business development, marketing mutual funds, separately managed accounts and alternative investments to broker dealers, RIA, and bank channel. Skilled in territory building through cold calling, referral networking, one-on-one needs analysis and group meetings. Extensive travel welcomed. Base $100,000 plus incentives.
#24416: Reg. Director & Wholesaler – MBA, various FINRA licenses. Along with well-rounded wholesaling experience, this candidate possesses a proven production track record. A talented professional with the drive to succeed. Able to relocate; willing to travel. Salary $80,000 plus commissions – is accustomed to making $200,000+.
#20610: Regional Sales Manager – Midwest – CPA, MBA, FINRA 6 & 63. A high performing sales/marketing professional with financial services and personal trust background. Effective consultative approach to marketing and sales management. Is able to cultivate and close new business with intermediary advisors and individuals. Willing to relocate. Salary $60,000 plus commission plan.
#31143: VP - Trust New Business Development Officer – MBA, Bachelor of Science. Career has centered on trust and investment management sales, and sales training within wealth management field. Considerable experience working with high net-worth clients in both a sales and account administration capacity. A consistent producer with a likeable personality and effective client contact skills. Open to relocation and salary is $75,000 plus bonus.
#39155: VP Retirement Plan Sales Officer – Bachelor of Science. A ten-year retirement professional with experience administering qualified retirement plans and developing small-market 401(k) plans in Delaware, Maryland, Pennsylvania, and West Virginia. Establishes and maintains relationships with outside centers of influence, including CPAs and financial advisors. Sales recognition in years 2015, 2016, 2017 and 2018. Salary $100,000 and sales incentives.
#03967: Regional VP - Institutional Retirement Sales – CFP®, FINRA, Bachelor of Science. A twenty-year sales professional with an extensive portfolio of investment advisory consultants for the sale and servicing of large-market institutional retirement plans. Utilize a consultative sales process for corporate, DB, DC and 457 plans in higher education, healthcare, manufacturing and multi-employer plans. A top-qualifier for national sales conference and industry speaking engagement. Base $130,000 plus industry commission plan.
#22930: SVP & Manager of Wealth Management Sales – MBA. FINRA licensed. Over ten years of progressive experience. Currently manages trust and brokerage sales effort for a $1 billion wealth management group. Possesses excellent new business, management and leadership skills – this is a professional that knows how to grow a department. Willing to relocate. Total cash compensation $170,000.
#24748: Sr. VP Wealth Advisor – CFP®, FINRA 7, 65. Responsible for identifying prospects in the HNW market through prospecting and developing centers of influence. Establishes collaborative partnerships with internal referral sources. Develops customized wealth management strategies to meet clients’ needs. Extensive use of eMoney planning software. Experienced in designing and implementing strategies to increase sales, improve service delivery and manage team performance. Seeking opportunities in Colorado, Georgia, or Florida. Base $170,000 plus strong incentive program.
#21856: External Wholesaler - FINRA 7, 6, 63, Life & Health Insurance. Financial services professional with nearly twenty years experience selling annuities - fixed & variable, separately managed accounts and mutual funds. Strong distribution through independent advisors and bank channel clients. Extensive exposure to western US. Able to build lasting relationships with advisors and provide strong presentations for end-users. Travels extensively. Base salary $65,000 plus incentive plan.
#36771: Regional VP & Wholesaler FINRA, CRPC, CMFC. – With over twenty years of asset management sales, third-party distribution and business development, marketing mutual funds, separately managed accounts and alternative investments to broker dealers, RIA, and bank channel. Skilled in territory building through cold calling, referral networking, one-on-one needs analysis and group meetings. Extensive travel welcomed. Base $100,000 plus incentives.
#24416: Reg. Director & Wholesaler – MBA, various FINRA licenses. Along with well-rounded wholesaling experience, this candidate possesses a proven production track record. A talented professional with the drive to succeed. Able to relocate; willing to travel. Salary $80,000 plus commissions – is accustomed to making $200,000+.
#08317: EB Recordkeeper. College degree. Stable job history. Currently handles ACP/ADP testing, statements, compliance, etc., for a variety of retirement plans. Also works directly with plan participants and has ESOP experience. A bright professional with the ability to work independently. Willing to relocate. Salary $57,000.
#07377: Sr. EB Recordkeeper. Ten+ years of well-rounded EB experience includes ACP/ADP testing, 5500 preparation, statements, contributions, asset reconciliation, and distributions. Possesses the ability to communicate clearly and work effectively with plan sponsors and participants. Willing to relocate. Salary $60,000.
#19319: Conversion Specialist. Business degree and over ten years of progressive 401(k) experience that includes conversions & implementations, recordkeeping, testing, compliance and plan design. Some supervisory background and contact with plan sponsors. Bright and able to communicate effectively. Willing to relocate. Salary $62,000.
#09815: VP Employee Benefit Officer. Currently employed by a large 401(k) provider with responsibility for handling relationships for over 50 accounts worth over $50 million. Heavy client contact and possesses strong technical knowledge, along with a customer service personality. Willing to relocate. Salary $70,000 plus bonus.
#17665: Retirement Plan Administrator. Bachelor of Arts, FINRA 6, 63, ASPPA: RPF-1, C-1. Professional with over 20 years in retirement plan consulting and administration. Prior supervisory experience in plan conversions department. Manages activities related to daily-valued retirement plans. Advises clients on plan design and regulatory issues. Mentors and trains co-workers. Salary $75,000. Willing to relocate.
#31568: Manager - Retirement Plans Unit – QKA, QPA, Bachelor of Science. Oversees the administration for 401(k), Safe Harbor, and Profit-Sharing plans. Supervises three administrative support staff and manages the transfers, terminations and conversions of retirement plans. Duties include implementing new procedures and processes, along with conducting client meetings and consulting services. Salary $75,000. Willing to work as a remote employee.
#09148: VP - Retirement Plan Administrator - AIF QKA, PPC. Over twenty years of progressive retirement plan administration and servicing experience with both national and regional providers. Has managed up to five (5) supervisors and a total staff of 40 employees. Established two new regional administrative units for two different national firms. Excellent customer presentation skills. Duties have included plan document, adoption agreement and amendment preparation, as well as on-going plan administration, compliance testing, and 5500 preparation. Systems experience includes ASC (recordkeeping, document and 5500 modules), SunGard Systems, SRT and DST-Trac. In addition, has a solid knowledge of EB operations, systems and conversions. Seeking position in Dallas, Austin or Houston, TX. Salary $90,000.
#27309: Retirement Plan Consultant – CPC, QPA, QKA, Bachelor of Arts – Mathematics. An experienced retirement plan consultant skilled in all aspects of defined contribution plan third party administrative services. Manages the delivery of services to employees and plans sponsors, including compliance testing, reporting, and governmental filings. Responsible for client satisfaction and directing technical staff. Systems experience includes Relius Administration and FT Williams. Seeking opportunities in retirement plan consulting as remote employee. Travel up to 50% is acceptable. Salary $95,000.
#38912: Regional Manager - Employee Benefit Plans – College degree. CEBS designation and over twenty years of progressive experience. Responsible for overseeing all activities for a regional 401(k) provider, which includes managing a staff of eight people. Possesses a strong mix of leadership, communication and technical skills. Willing to relocate. Salary $95,000 plus bonus.
#07377: Sr. EB Recordkeeper. Ten+ years of well-rounded EB experience includes ACP/ADP testing, 5500 preparation, statements, contributions, asset reconciliation, and distributions. Possesses the ability to communicate clearly and work effectively with plan sponsors and participants. Willing to relocate. Salary $60,000.
#19319: Conversion Specialist. Business degree and over ten years of progressive 401(k) experience that includes conversions & implementations, recordkeeping, testing, compliance and plan design. Some supervisory background and contact with plan sponsors. Bright and able to communicate effectively. Willing to relocate. Salary $62,000.
#09815: VP Employee Benefit Officer. Currently employed by a large 401(k) provider with responsibility for handling relationships for over 50 accounts worth over $50 million. Heavy client contact and possesses strong technical knowledge, along with a customer service personality. Willing to relocate. Salary $70,000 plus bonus.
#17665: Retirement Plan Administrator. Bachelor of Arts, FINRA 6, 63, ASPPA: RPF-1, C-1. Professional with over 20 years in retirement plan consulting and administration. Prior supervisory experience in plan conversions department. Manages activities related to daily-valued retirement plans. Advises clients on plan design and regulatory issues. Mentors and trains co-workers. Salary $75,000. Willing to relocate.
#31568: Manager - Retirement Plans Unit – QKA, QPA, Bachelor of Science. Oversees the administration for 401(k), Safe Harbor, and Profit-Sharing plans. Supervises three administrative support staff and manages the transfers, terminations and conversions of retirement plans. Duties include implementing new procedures and processes, along with conducting client meetings and consulting services. Salary $75,000. Willing to work as a remote employee.
#09148: VP - Retirement Plan Administrator - AIF QKA, PPC. Over twenty years of progressive retirement plan administration and servicing experience with both national and regional providers. Has managed up to five (5) supervisors and a total staff of 40 employees. Established two new regional administrative units for two different national firms. Excellent customer presentation skills. Duties have included plan document, adoption agreement and amendment preparation, as well as on-going plan administration, compliance testing, and 5500 preparation. Systems experience includes ASC (recordkeeping, document and 5500 modules), SunGard Systems, SRT and DST-Trac. In addition, has a solid knowledge of EB operations, systems and conversions. Seeking position in Dallas, Austin or Houston, TX. Salary $90,000.
#27309: Retirement Plan Consultant – CPC, QPA, QKA, Bachelor of Arts – Mathematics. An experienced retirement plan consultant skilled in all aspects of defined contribution plan third party administrative services. Manages the delivery of services to employees and plans sponsors, including compliance testing, reporting, and governmental filings. Responsible for client satisfaction and directing technical staff. Systems experience includes Relius Administration and FT Williams. Seeking opportunities in retirement plan consulting as remote employee. Travel up to 50% is acceptable. Salary $95,000.
#38912: Regional Manager - Employee Benefit Plans – College degree. CEBS designation and over twenty years of progressive experience. Responsible for overseeing all activities for a regional 401(k) provider, which includes managing a staff of eight people. Possesses a strong mix of leadership, communication and technical skills. Willing to relocate. Salary $95,000 plus bonus.
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#00647: Associate Wealth Advisor – CFP, Bachelor of Arts. A wealth advisor with two years of experience providing retirement, investment and estate planning services for high-net-worth clients for a fee-only wealth management firm. Develops and implements investment strategies for clients after conducting initial client meeting and gathering necessary data and investment goals. Monitors investment accounts for proper allocation and rebalancing as needed. Experience using eMoney software. Salary $63,000.
#01832: Financial Planning Analyst - CFP® FINRA 65, B.S. - Personal Financial Planning. Three years’ experience working closely with a senior wealth advisor in the preparation and follow-up on client meetings. Duties include developing financial plans, supporting the management of client relationships, reviewing portfolio performance with clients, and performing research regarding complex client issues. Completes account openings, asset movements and reviews accounts for suitability requirements. Systems experience includes Redtail CRM, eMoney, MoneyGuidePro and Morningstar. Salary $75,000. Seeking opportunities in Texas or Oklahoma.
#6034: VP Sr. Financial Planner – CFP®, CExP®, FINRA 7, 63, 66. Currently preparing comprehensive wealth plans for high-net-worth clients with average net worth $4 million. Plans typically include retirement analysis, asset allocation recommendations, business exit planning strategies, estate analysis and tax strategies. Supervises one paraplanner. Salary $100,000, annual bonus program.
#28966: Estate Planning Attorney – JD, FINRA 65, Bachelor of Science. Over 15 years private law practice concentrating in estate and tax planning, trust and estate administration and financial planning. Assist wealthy clients in wealth preservation through proper planning using family limited partnerships and related planning tools. Excellent experience with special needs trusts and ILITs. Frequent guest speaker at wealth planning seminars. Base salary $110,000 plus annual bonus. Open to relocation through the South and Southeast.
#01832: Financial Planning Analyst - CFP® FINRA 65, B.S. - Personal Financial Planning. Three years’ experience working closely with a senior wealth advisor in the preparation and follow-up on client meetings. Duties include developing financial plans, supporting the management of client relationships, reviewing portfolio performance with clients, and performing research regarding complex client issues. Completes account openings, asset movements and reviews accounts for suitability requirements. Systems experience includes Redtail CRM, eMoney, MoneyGuidePro and Morningstar. Salary $75,000. Seeking opportunities in Texas or Oklahoma.
#6034: VP Sr. Financial Planner – CFP®, CExP®, FINRA 7, 63, 66. Currently preparing comprehensive wealth plans for high-net-worth clients with average net worth $4 million. Plans typically include retirement analysis, asset allocation recommendations, business exit planning strategies, estate analysis and tax strategies. Supervises one paraplanner. Salary $100,000, annual bonus program.
#28966: Estate Planning Attorney – JD, FINRA 65, Bachelor of Science. Over 15 years private law practice concentrating in estate and tax planning, trust and estate administration and financial planning. Assist wealthy clients in wealth preservation through proper planning using family limited partnerships and related planning tools. Excellent experience with special needs trusts and ILITs. Frequent guest speaker at wealth planning seminars. Base salary $110,000 plus annual bonus. Open to relocation through the South and Southeast.
#52270: Asst. VP Fiduciary Tax Accountant - Enrolled Agent, B.S. - Accounting. Preparing and reviewing the more complex trusts, estates, and charitable tax returns. Tax administration responsibilities include GST review, tax return preparation, and PACE maintenance. Provide tax expertise to address clients’ needs. Proactively identify opportunities regarding a tax matter in support of enhancing client service and expanding relationships. Prior four years’ experience in public accounting preparing fiduciary income tax returns and K-1 input and reviews. Systems experience includes ONESOURCE® Trust Tax, and Orion software. Salary expectation is base salary $110,000 and seeking a remote position only.
#00647: Associate Wealth Advisor – CFP, Bachelor of Arts. A wealth advisor with two years of experience providing retirement, investment and estate planning services for high-net-worth clients for a fee-only wealth management firm. Develops and implements investment strategies for clients after conducting initial client meeting and gathering necessary data and investment goals. Monitors investment accounts for proper allocation and rebalancing as needed. Experience using eMoney software. Salary $63,000.
#28966: Estate Planning Attorney – JD, FINRA 65, Bachelor of Science. Over 15 years private law practice concentrating in estate and tax planning, trust and estate administration and financial planning. Assist wealthy clients in wealth preservation through proper planning using family limited partnerships and related planning tools. Excellent experience with special needs trusts and ILITs. Frequent guest speaker at wealth planning seminars. Base salary $110,000 plus annual bonus. Open to relocation through the South and Southeast.
#52540: Senior Wealth Consultant – JD, Bachelor of Science. A wealth consultant with the primary goal of providing comprehensive wealth and estate planning services to high-net-worth families. Experienced in building relationships to retain and increase wallet share of existing clients. Creates financial planning reports, reviews estate plans, performs capital gains analysis, and completes overall portfolio reviews. Previously managed over $400 million in assets for clients. Thrives in a team-based environment and has excellent focus on delivering excellent client experience. Current salary $130,000 and bonus potential. Seeks opportunities in the Ohio Valley.
#24748: Sr. VP Wealth Advisor – CFP®, FINRA 7, 65. Responsible for identifying prospects in the HNW market through prospecting and developing centers of influence. Establishes collaborative partnerships with internal referral sources. Develops customized wealth management strategies to meet clients’ needs. Extensive use of eMoney planning software. Experienced in designing and implementing strategies to increase sales, improve service delivery and manage team performance. Seeking opportunities in Colorado, Georgia, or Florida. Base $170,000 plus strong incentive program.
#04977: Family Office – Wealth Manager – CPA, CFP®, Certified Fraud Examiner - CFE, M.S. Accounting. A fiduciary expert serving as Trustee and/or Executor, providing full-service wealth management services for ultra-high-net-worth clients. Excellent resource providing tax strategies, investment and estate planning and regulatory guidance. Prior experience implementing and monitoring compliance program for regulated trust company. Seeking senior executive position with family office or trust company serving exclusive private clients. Salary $200,000 plus annual bonus. Prefers East Coast locations.
#19844 Sr. VP. Wealth Management New Business – CFP®, MBA, Bachelor of Science. Over twenty years of comprehensive trust and wealth management business development experience. Extensive use of MoneyGuidePro software in developing comprehensive financial plans for high-net-worth clients and prospects. Sales success generating investment management/agency accounts, personal trusts and bundled 401(k) plans. Experience also includes referring clients for brokerage services, residential mortgages, and bank deposits. Strong communicator with strong relationship building skills. Single, renting, and open to relocation. Base $95,000 plus incentive plan.
#35436: Associate Wealth Manager – CFA, FINRA 7, Bachelor of Arts. Working closely with two senior wealth managers, duties included gathering client financial profile to assess investment risk tolerance, proper asset allocation, reviewing concentrated or low-basis investments and making recommendations for the overall investment strategy. Acted as liaison between senior managers and operations team to address client inquiries and facilitate improved processing of transactions. Salary $80,000. Open to relocation to major metropolitan areas.
#48228: Sr. Wealth Advisor/Analyst: CFA, AIF, Bachelor of Science. Providing investment strategies for ultra-high net-worth clients. Developed analytics to examine stock compensation plans, private equity and asset location. Meets regularly with clients to review investment portfolios and discuss performance and as well as looking for financial planning needs. Systems experience includes FactSet, Zephyr StyleADVISOR and Morningstar. Willing to consider most metropolitan areas. Salary $95,000 plus bonus.
#28966: Estate Planning Attorney – JD, FINRA 65, Bachelor of Science. Over 15 years private law practice concentrating in estate and tax planning, trust and estate administration and financial planning. Assist wealthy clients in wealth preservation through proper planning using family limited partnerships and related planning tools. Excellent experience with special needs trusts and ILITs. Frequent guest speaker at wealth planning seminars. Base salary $110,000 plus annual bonus. Open to relocation through the South and Southeast.
#52540: Senior Wealth Consultant – JD, Bachelor of Science. A wealth consultant with the primary goal of providing comprehensive wealth and estate planning services to high-net-worth families. Experienced in building relationships to retain and increase wallet share of existing clients. Creates financial planning reports, reviews estate plans, performs capital gains analysis, and completes overall portfolio reviews. Previously managed over $400 million in assets for clients. Thrives in a team-based environment and has excellent focus on delivering excellent client experience. Current salary $130,000 and bonus potential. Seeks opportunities in the Ohio Valley.
#24748: Sr. VP Wealth Advisor – CFP®, FINRA 7, 65. Responsible for identifying prospects in the HNW market through prospecting and developing centers of influence. Establishes collaborative partnerships with internal referral sources. Develops customized wealth management strategies to meet clients’ needs. Extensive use of eMoney planning software. Experienced in designing and implementing strategies to increase sales, improve service delivery and manage team performance. Seeking opportunities in Colorado, Georgia, or Florida. Base $170,000 plus strong incentive program.
#04977: Family Office – Wealth Manager – CPA, CFP®, Certified Fraud Examiner - CFE, M.S. Accounting. A fiduciary expert serving as Trustee and/or Executor, providing full-service wealth management services for ultra-high-net-worth clients. Excellent resource providing tax strategies, investment and estate planning and regulatory guidance. Prior experience implementing and monitoring compliance program for regulated trust company. Seeking senior executive position with family office or trust company serving exclusive private clients. Salary $200,000 plus annual bonus. Prefers East Coast locations.
#09148: VP - Retirement Plan Administrator - AIF QKA, PPC. Over twenty years of progressive retirement plan administration and servicing experience with both national and regional providers. Has managed up to five (5) supervisors and a total staff of 40 employees. Established two new regional administrative units for two different national firms. Excellent customer presentation skills. Duties have included plan document, adoption agreement and amendment preparation, as well as on-going plan administration, compliance testing, and 5500 preparation. Systems experience includes ASC (recordkeeping, document and 5500 modules), SunGard Systems, SRT and DST-Trac. In addition, has a solid knowledge of EB operations, systems and conversions. Seeking position in Dallas, Austin or Houston, TX. Salary $90,000.
#13790: Chief Investment Officer – CFA, CFP®, Masters, Bachelors. Direct the duties for three portfolio managers and personally administer over $500 million of high-net-worth individuals, trusts, foundations and public funds. Experienced in range of asset classes, including long-only, oil, gas, hedge funds and private equity. Chairs the Investment Committee, while instituting and coordinating investment policy statements across all client accounts. Strong business development skills, gaining referrals from outside centers of influence through speaking engagements. Salary $100,000 and open to relocation throughout South & SE US.
#07126: Managing Director Wealth Management. CFP®, Bachelor of Arts. Managing a regional wealth management hub with full responsibility for region’s revenue, expenses, and compliance. Manages a team of 11 professionals including wealth advisors, investment portfolio managers and operational support staff. Background includes brokerage and trust services experience, along with serving high net-worth clients for national investment management firms. Outstanding expert in wealth management, with a track record of achieving results. Salary $110,000. Nation-wide possibilities.
#10833: VP Retirement Plan Services – AIFA, Bachelor of Science. Retirement Plan Services professional with over 20 years leading the business line serving 401(k), 403(b), Cash Balance and Defined Benefit clients. Responsible for sales growth, client relationship management, and retirement plans administrative services. Implemented all strategic planning, negotiated selling agreements, and managed the overall profit/loss for the unit. Excellent leadership skills and proven track record of recruiting and motivating professional staff. Seeking Midwest or East Coast opportunities. Salary $150,000.
#52507: Sr. VP Director Wealth Management – Bachelor of Science, National Graduate Trust – ABA, prior FINRA licensed. Over twenty years’ experience managing multiple trust service locations for top tier providers. In addition to developing and enhancing staff, expanded fiduciary and investment management services through client relationships, increasing other centers of influence in the communities and capitalizing on internal partnerships. Recognized over the years as an elite performer in sales production and client service. Responsible for compliance standards and risk management for the region. Salary $150,000 plus several incentive programs. Single and very open to relocation.
#33365: SVP & Manager of Trust & Wealth Management – Law degree and over twenty years of progressive wealth management background, which includes personal trust, investment management, private banking and brokerage experience. Working for a nationally-known trust group, managed a regional office of 20+ employees and over $1 billion in assets. Possess strong new business and leaderships skills. Willing to relocate. Salary $175,000 plus bonus.
#21256: Chief Investment Officer – CFA, Bachelor of Science. – Over fifteen years of investment management and research experience, having supervised two portfolio managers. Responsible for the overall investment strategy and asset allocation for over $1 billion AUM. Analyzed investment allocation of clients’ portfolios, set client investment objectives and constructed portfolios. Led monthly investment committee meetings and composed quarterly investment newsletter. Researched outside money managers, including mutual funds, hedge funds and alternatives. $180,000 base, plus percent of revenue and open to relocation.
#00556: Chief Operating Officer & Compliance Officer – B.S. Currently with a billion-dollar RIA that provides customized investment advisory solutions and related advisory services for its high-net-worth clients. With four direct reporting staff members, currently manages HR staffing, training, investment operations, client servicing, capital investments/expenses and negotiating third-party vendor contracts. Successfully integrated Black Diamond, Practifi, and RedBlack Trading to scale flexible architecture. Automated outdated back-office operation workflows and implemented growth plans to increase company profits. Systems experience includes SS&C Advent Axys, APX, Moxy, Broadridge Proxy, Black Diamond and Charles River Trading. Salary expectations are $185,000 base and management bonus. Seeking opportunities in Texas and Florida.
#14808: Chief Fiduciary Officer – JD, Bachelor of Science. A senior wealth management executive with thorough knowledge of trust and investment management industries. Expert in creating and managing high-performance teams across multiple regions. Success in areas including client service, risk/compliance management, operational efficiencies, capital markets, alternative asset management and business development. Drove sales resulting in double-digit year-over-year revenue growth. Willing to relocate. Salary $250,000 plus incentive.
#01891: SVP & Director of Wealth Management Services – Business degree from a major university and appropriate FINRA licenses. Possesses a good blend of trust, brokerage, sales and insurance. Currently manages all aspects of a $2.5 billion wealth management group. An aggressive business developer and effective senior manager. Willing to relocate. Salary $225,000 plus incentive.
#13790: Chief Investment Officer – CFA, CFP®, Masters, Bachelors. Direct the duties for three portfolio managers and personally administer over $500 million of high-net-worth individuals, trusts, foundations and public funds. Experienced in range of asset classes, including long-only, oil, gas, hedge funds and private equity. Chairs the Investment Committee, while instituting and coordinating investment policy statements across all client accounts. Strong business development skills, gaining referrals from outside centers of influence through speaking engagements. Salary $100,000 and open to relocation throughout South & SE US.
#07126: Managing Director Wealth Management. CFP®, Bachelor of Arts. Managing a regional wealth management hub with full responsibility for region’s revenue, expenses, and compliance. Manages a team of 11 professionals including wealth advisors, investment portfolio managers and operational support staff. Background includes brokerage and trust services experience, along with serving high net-worth clients for national investment management firms. Outstanding expert in wealth management, with a track record of achieving results. Salary $110,000. Nation-wide possibilities.
#10833: VP Retirement Plan Services – AIFA, Bachelor of Science. Retirement Plan Services professional with over 20 years leading the business line serving 401(k), 403(b), Cash Balance and Defined Benefit clients. Responsible for sales growth, client relationship management, and retirement plans administrative services. Implemented all strategic planning, negotiated selling agreements, and managed the overall profit/loss for the unit. Excellent leadership skills and proven track record of recruiting and motivating professional staff. Seeking Midwest or East Coast opportunities. Salary $150,000.
#52507: Sr. VP Director Wealth Management – Bachelor of Science, National Graduate Trust – ABA, prior FINRA licensed. Over twenty years’ experience managing multiple trust service locations for top tier providers. In addition to developing and enhancing staff, expanded fiduciary and investment management services through client relationships, increasing other centers of influence in the communities and capitalizing on internal partnerships. Recognized over the years as an elite performer in sales production and client service. Responsible for compliance standards and risk management for the region. Salary $150,000 plus several incentive programs. Single and very open to relocation.
#33365: SVP & Manager of Trust & Wealth Management – Law degree and over twenty years of progressive wealth management background, which includes personal trust, investment management, private banking and brokerage experience. Working for a nationally-known trust group, managed a regional office of 20+ employees and over $1 billion in assets. Possess strong new business and leaderships skills. Willing to relocate. Salary $175,000 plus bonus.
#21256: Chief Investment Officer – CFA, Bachelor of Science. – Over fifteen years of investment management and research experience, having supervised two portfolio managers. Responsible for the overall investment strategy and asset allocation for over $1 billion AUM. Analyzed investment allocation of clients’ portfolios, set client investment objectives and constructed portfolios. Led monthly investment committee meetings and composed quarterly investment newsletter. Researched outside money managers, including mutual funds, hedge funds and alternatives. $180,000 base, plus percent of revenue and open to relocation.
#00556: Chief Operating Officer & Compliance Officer – B.S. Currently with a billion-dollar RIA that provides customized investment advisory solutions and related advisory services for its high-net-worth clients. With four direct reporting staff members, currently manages HR staffing, training, investment operations, client servicing, capital investments/expenses and negotiating third-party vendor contracts. Successfully integrated Black Diamond, Practifi, and RedBlack Trading to scale flexible architecture. Automated outdated back-office operation workflows and implemented growth plans to increase company profits. Systems experience includes SS&C Advent Axys, APX, Moxy, Broadridge Proxy, Black Diamond and Charles River Trading. Salary expectations are $185,000 base and management bonus. Seeking opportunities in Texas and Florida.
#14808: Chief Fiduciary Officer – JD, Bachelor of Science. A senior wealth management executive with thorough knowledge of trust and investment management industries. Expert in creating and managing high-performance teams across multiple regions. Success in areas including client service, risk/compliance management, operational efficiencies, capital markets, alternative asset management and business development. Drove sales resulting in double-digit year-over-year revenue growth. Willing to relocate. Salary $250,000 plus incentive.
#01891: SVP & Director of Wealth Management Services – Business degree from a major university and appropriate FINRA licenses. Possesses a good blend of trust, brokerage, sales and insurance. Currently manages all aspects of a $2.5 billion wealth management group. An aggressive business developer and effective senior manager. Willing to relocate. Salary $225,000 plus incentive.
#36210: GIPS & Compliance Officer Bachelor of Science. A bright professional with a love for compliance. Over seven year’s compliance and GIPS experience with a Midwest money management firm. Duties include creating policies and procedures to comply with GIPS and overseeing compliance program testing. Performs all marketing material for compliance, employee personal transactions and gift requests. Perform ongoing employee compliance education and training. Compensation $105,000 plus company bonus program. Willing to relocate.
#44669: Sr. Compliance Analyst – Wealth Management – Bachelor of Science, Member Fiduciary Investment Risk Management Assoc. A detailed-oriented compliance professional with over 20 years in corporate banking and wealth management compliance. A diverse background that includes wealth management compliance, operations, and personal and corporate trust administration. Main resource in researching trust account activity for Personal, Corporate and Institutional Trusts. Managed testing of internal Affiliate Transaction Training course to comply with Investment Company Act 1940. Performed conflict-of-interest testing and managed compliance testing projects within mutual fund custody and personal trust business lines. Reviewed and monitored daily compliance of portfolios containing municipal and corporate bond issues. Relocation to South and Southwestern US. Salary $105,000
#00556: Chief Operating Officer & Compliance Officer – B.S. Currently with a billion-dollar RIA that provides customized investment advisory solutions and related advisory services for its high-net-worth clients. With four direct reporting staff members, currently manages HR staffing, training, investment operations, client servicing, capital investments/expenses and negotiating third-party vendor contracts. Successfully integrated Black Diamond, Practifi, and RedBlack Trading to scale flexible architecture. Automated outdated back-office operation workflows and implemented growth plans to increase company profits. Systems experience includes SS&C Advent Axys, APX, Moxy, Broadridge Proxy, Black Diamond and Charles River Trading. Salary expectations are $185,000 base and management bonus. Seeking opportunities in Texas and Florida.
#44669: Sr. Compliance Analyst – Wealth Management – Bachelor of Science, Member Fiduciary Investment Risk Management Assoc. A detailed-oriented compliance professional with over 20 years in corporate banking and wealth management compliance. A diverse background that includes wealth management compliance, operations, and personal and corporate trust administration. Main resource in researching trust account activity for Personal, Corporate and Institutional Trusts. Managed testing of internal Affiliate Transaction Training course to comply with Investment Company Act 1940. Performed conflict-of-interest testing and managed compliance testing projects within mutual fund custody and personal trust business lines. Reviewed and monitored daily compliance of portfolios containing municipal and corporate bond issues. Relocation to South and Southwestern US. Salary $105,000
#00556: Chief Operating Officer & Compliance Officer – B.S. Currently with a billion-dollar RIA that provides customized investment advisory solutions and related advisory services for its high-net-worth clients. With four direct reporting staff members, currently manages HR staffing, training, investment operations, client servicing, capital investments/expenses and negotiating third-party vendor contracts. Successfully integrated Black Diamond, Practifi, and RedBlack Trading to scale flexible architecture. Automated outdated back-office operation workflows and implemented growth plans to increase company profits. Systems experience includes SS&C Advent Axys, APX, Moxy, Broadridge Proxy, Black Diamond and Charles River Trading. Salary expectations are $185,000 base and management bonus. Seeking opportunities in Texas and Florida.