Miscellaneous - Newport, LA, SF
CDO Reporting/Compliance Analyst - Los Angeles
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 trustee’s 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.
Data Integrity - West Los Angeles
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, CLO’s, CDO’s 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, Thomson’s 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.
Administrative Assistant - Financial services industry (West LA)
Asset Manager seeks Assistant to work as part of a team with several Financial Advisors and Associates. We are
seeking experienced Administrative Assistants who are bright, motivated, team-oriented and committed to providing a
superior level of service to internal and external clients within a team environment. Primary Responsibilities:
administrative team support, reception coverage and client servicing. Minimum 1 full year of administrative or
executive support experience in a corporate or professional office, excellent verbal and written communication skills,
Solid computer skills (MS Word, Excel and PowerPoint).
Operations Administrator - Newport Beach
The candidate will work directly with the operations team. Duties include but are not limited to: custodian statement
reconciliation, daily administration of mutual fund accounts including trade reporting, account reconciliation, and
validation of NAV. Plus, cross train in other areas of operations. A Bachelor’s degree, preferably with a major in
Accounting, Finance, Business Administration, or Economics. Minimum 2 years of financial services industry
experience. Good understanding of the securities industry. High level of proficiency in Microsoft Office applications
including Excel and Word. Working knowledge of FIN, INDATA, EVARE, Bloomberg and LotusNotes helpful.
Marketing Communications Associate -Newport Beach
The successful candidate will join the marketing communications team in reporting company and investment strategy
data to consultants and other intermediaries. The MCA’s duties will include completing consultant questionnaires and
RFPs as well as gathering, computing, analyzing and organizing statistical data. The MCA will also perform
attribution analyses on client portfolios and assist portfolio managers in preparing materials for client and prospective
client meetings. The candidate must possess: Minimum of two years of relevant experience in the financial services
industry, high level of proficiency in Excel and Word, exceptional analytical and organizational skills, ability to
successfully manage multiple tasks, projects and responsibilities within strict deadlines, outstanding attention to
detail, strong written and oral communication skills, Bachelor’s degree, preferably with a major in Accounting,
Business Administration, Economics or Finance.
Senior Operations Administrator - Newport Beach
The candidate will work directly with the operations team. Duties include but are not limited to: working with clients,
consultants and custodians to establish new accounts, processing new account documents including AML/KYC
administration, data entry of new account information, including the set up and entry of securities data, 13f data
gathering and reporting, cross train and assist in all other areas of operations including account reconciliation, trade
settlements, client reporting, proxy voting and account maintenance. Requirements: A Bachelor’s degree, preferably
with a major in Finance, Business Administration, Economics or Accounting. Minimum 3 years of financial services
industry experience. Good understanding of the securities industry. Outstanding attention to detail. Excellent
customer service skills. Excellent verbal and written communication skills. Proven ability to manage multiple
projects/tasks with competing priorities and deadlines. Experience with AML/KYC administration helpful. High level
of proficiency in Microsoft Office applications including Excel and Word. Working knowledge of FIN, INDATA and
Bloomberg helpful.
Compliance Specialist - Newport Beach
Chief responsibility will be to execute and enhance the controls and testing programs needed to support the
adherence to and oversight of industry/company guidelines, client-mandated restrictions/reporting as well as
regulatory requirements during the investment management process for a rapidly growing investment advisor. The
Compliance Specialist will also serve as a liaison with the parent firm’s Compliance Department. This position will
work very closely with various business units within the organization to leverage systems and subject matter
expertise as a part of the overall compliance and risk oversight process. Position is responsible for serving as an
internal consultant for Compliance as well as a liaison with all other areas within the organization impacted by 206(4)7 testing oversight and review. B.S. in Accounting, Finance or J.D. in Law or equivalent major required, with an
advanced degree preferred. At least four or more years of industry-related compliance and/or audit experience
required. Strong working knowledge of complex investment industry regulatory guidelines, or a proven proficiency
with similarly intricate data, as well as experience with developing controls, preferably in a SAS 70 environment, are
required.
Compliance Analyst – West LA
This position will provide on-site compliance support for the firm's West Los Angeles based employees (FAS,
Institutional, and trading). Trade/portfolio monitoring and exception reporting. Requirements analysis, design, testing,
and management of rules in the firms pre- and post- trade compliance systems. Review advertising, sales, and
institutional materials for compliance with industry regulations as well as firms policy and procedures. Support subadvisor reporting obligations. At least four years compliance experience with an investment advisor or mutual fund
company. Bachelor's degree in Finance, Accounting, Economics and/or equivalent work experience Well-developed
computer skills; intermediate to expert use of MS Office is a must. Previous experience with trade compliance
applications is a plus.
Private Client Associate - San 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.
Interested candidates please send resume as an attached Word document to wcfinancialjobs@aol.com.
Please note, when an offer is extended it is pending a background check. This includes: professional references,
educational verifications, salary verification, employment dates verification, credit, criminal and drug.
Beth Ann Wood
West Coast Financial Jobs
wcfinancialjobs@aol.com
512.502.0168