West Coast Financial Jobs
P ORTFOLIO C ONTROLLER W EST LA ( IMMEDIATE HIRE )
Perform GAAP compliant audits of funds and separate accounts by reviewing account assets, liabilities, positions, cash and transactions. Reconcile NAV against administrator, custodian and prime broker records on a month and year end basis. Reconciling to fund administrator financials strict monthly deadlines. Prepare GAAP compliant month and year end financial statements including Balance Sheet, Statement of Operations, Cashflow statement, Schedule of Investments and
Partners Capital. Prepare GAAP compliant month and year end tax reports as LP allocations and
Qualified Dividend Analysis. Degree. At least 3 year of experience in the securities/investments back office operations. Hedge fund industry experience a plus.
C LIENT S ERVICES A SSOCIATE W ESTLAKE V ILLAGE , C ALIFORNIA
27 year old Comprehensive Financial Planning and Investment Advisory firm is seeking a Client
Services Associate. The Client Services Associate is responsible for the areas of client services, office administration, and operations. Supervise Administrative Assistant employee. Screen mail, email, client calls, and greet clients as needed. Schedule and confirm appointments and maintain office calendar. Oversee regulatory requirements: monitor CEUs, license renewals, and help prep for compliance audits. Assist with marketing projects (seminars, newsletters, events, etc.). Interact with clients daily to handle and complete client service inquires, questions, requests, and issues. Assist with preparation for client reviews, proposals, presentations, etc.
Maintain computer-based client management system (dbCAMS: investments, insurance, etc.).Manage OSJ Branch Office operations. Open and accurately process new accounts, forms, applications, transfer paperwork, etc. Manage existing accounts (ACATS & non-ACATS transfers), re-registrations, journal transactions, etc. Maintain Broker-Dealer compliance logs and files (correspondence, checks, signature guarantees, etc. Required: At least three years securities industry experience with a sound working knowledge of independent Branch Office back office securities operations. Technology expertise: Internet, client management databases, etc. Computer programs: Microsoft Word & Excel, optical scanning, broker-dealer online account management, etc.
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P RIVATE C LIENT A SSOCIATE - S AN D IEGO , L OS A NGELES AND S AN FRANCISCO
Asset Manager seeks Associate to work as part of a team with several Financial Advisors. Wonderful opportunity for exposure to all aspects of asset management. College educated and Industry experience preferred. Candidate must possess strong skills in all of the following areas: analytical, written/oral communication, organizational, computer. Must also be detail-oriented, able to work well under pressure and be a team player. Responsible for all aspects of client servicing, which involves: heavy client interaction and problem solving for high net worth prospects, clients and intermediaries. Provide service and support functions such as, portfolio analysis, account creation, maintenance and reconciliation, special projects, preparation of marketing/prospecting presentations.
General office management skills are required and include, phone coverage, correspondence, database maintenance, financial reporting. Series 7 preferred.
C OMPLIANCE O FFICER A USTIN
This position will assist the firm in developing, maintaining, and overseeing regulatory compliance programs. Responsible for assisting with the development and enhancement of front and middle office compliance controls; work with investment professionals to accurately establish portfolios into the order management and compliance system (Charles River Investment Management
System), provide global front office compliance support, including the review and override of pretrade compliance alerts submitted by Trading and Portfolio Management, thorough research and reporting of potential compliance issues to the appropriate investment personnel, continual oversight of alert resolutions and escalations to investment personnel for accuracy and appropriateness, complete required substantial shareholder filings and foreign disclosure requests. Provide advice and guidance to the firm and its employees on complex Investment

Advisers Act, Investment Company Act, ERISA, and FINRA regulations. Enhance, develop and implement compliance policies and procedures. Must have five plus years of front and middle office compliance experience at an investment advisor or mutual fund company. Must have prior working experience with an order management and compliance system with specific Charles
River Investment Management System experience a plus. Detailed knowledge of the Investment
Advisers Act of 1940 and the Investment Company Act of 1940. Bachelor's degree in Accounting,
Finance, Economics or related field.
C OMPLIANCE O FFICER A USTIN
This position will be responsible for all marketing & sales compliance matters (SEC, FINRA, and foreign regulations) and general support for overall compliance programs. Provide expert advice and guidance to the firm and its employees on sales and marketing compliance regulations
(Investment Advisers Act, Investment Company Act, ERISA, SEC and FINRA regulations). Serve as the main compliance resource for the Communications, Marketing and Sales teams. Review and approve marketing and communications content across multiple delivery channels: including website and print sales literature, research papers, client presentation materials and RFP responses. Ensure all materials and associated disclosures are in compliance with regulation.
Responsible for timely filing of marketing materials with FINRA. Oversee continuing education program as well as contribute to the development and delivery of the annual compliance meeting.
Enhance, develop and implement sales and marketing related compliance policies and procedures for fund distributor and affiliated investment advisors
Draft and maintain written supervisory policies and procedures for FINRA compliance program. At least five years of prior experience in compliance environment at an investment advisor or mutual fund company. Bachelor's degree and FINRA Series 7 & 24 required.
P RICING S PECIALIST P ASADENA
Individual will be responsible for retrieving and reviewing daily and monthly security prices and exchange rates. This person will also be responsible for communicating effectively with both internal clients and vendors. Individual will work closely with colleagues to ensure the accurate and timely completion of the daily task and projects. Pricing of daily valued client accounts/funds.
Approving daily NAV's for Mutual Funds Re-pricing of fixed income portfolios. Work closely with other areas of the firm to disseminate pricing issues/information (portfolio management, compliance, investment operations/support). Strong working knowledge of MS Excel; Visual
Basic programming a plus. Experience with wide range of international and domestic security types: debt, rights warrants, options, futures and swaps. Experience with Bloomberg and internetbased tools are a plus. Experience with Spot and Forward exchange a plus. . Degree required.
CDO R EPORTING /C OMPLIANCE A NALYST L OS A NGELES
Solid understanding of CDO mechanics and documentation a MUST; CLO experience preferred.
Will be required to model CLO waterfalls as outlined in governing documents. Review trustees monthly and quarterly payment reports comprising of limitation tests, portfolio activity, and collateral quality tests. Independently calculate and review priority of payment numbers for Payment Dates.
Review and monitor portfolio asset ratings; understanding of ratings derivations as outlined in governing documents is a must. Create hypothetical trading scenarios. Prepare adhoc portfolio reports and analysis as requested by Senior Management and Portfolio Management team. Work closely with Investment Analytics for purposes of portfolio analysis. Work with Accounting and
Operations Departments on special projects. Four year college degree. Minimum 5 years experience working with CDOs. Ideal candidate will demonstrate strong research and analytical skills; must be detail-oriented, and understand the risks inherent in the CDO product. Must be proficient in
Excel. Familiarity with Bloomberg is necessary.
D ATA I NTEGRITY W EST L OS A NGELES
The Data Integrity group is responsible to verify and maintain all data related to securities processing in the firms recordkeeping system. Required: Degree. Minimum five+ years of

investment operations or securities data management, Strong fixed-income product knowledge, particularly bank loans, CLOs, CDOs variable rates securities, derivatives and fixed income securities.
Hedge fund or private equity experience is a plus. Previous supervisory experience is required.
Previous experience with pricing and security setup (SMF) is required. Experience with one of the following required: Wall Street Office, Advent Geneva, Thomsons Portia system, CDO Suite and BB
Trading. Bloomberg Trading is a plus. Highly proficient in Microsoft Excel knowledge of formulae a must (e.g. vlookup). Knowledge of BB API a big plus.
Interested candidates please send resume as an attached Word document to
Beth Ann Wood,
W EST
C OAST F INANCIAL J OBS , AT wcfinancialjobs@aol.com.