August 12, 2008

Chief Compliance Officer (“CCO”)

TS&W is a registered investment advisor located in Richmond, Virginia with assets under management of over $7 billion consisting of domestic and international equity products, fixed income and long/short products.  Established in 1969, TS&W's  72 associates enjoy working as a team focused on generating returns above our benchmarks for the firm's numerous institutional, SMA, high net worth and mutual fund clients.  TS&W is majority-owned by Old Mutual (US) Holdings Inc. (“OMUSH”), a multi-national asset management business whose operations are subsidiaries of Old Mutual plc, a London based, international financial services company.

Primary responsibility

This position is responsible for the management and continued development of the compliance program at TS&W to ensure the firm’s activities comply with applicable securities laws and regulations, firm policies, client requirements, industry best practices and the highest ethical standards.

Scope:

Position reports to the TS&W Management Committee and its Board of Managers.   The position requires a close working relationship  with TS&W senior management and all internal departments, including Investment Management, Marketing, Research, Risk, Operations, Accounting, IT and Trading and externally with OMUSH’s compliance and legal departments, several mutual fund boards, regulators, outside legal counsel, external auditors, and clients.

Specific responsibilities include:

• Supervise 2 member compliance staff and coordinate compliance functions throughout the firm.
• Maintaining, updating and administering all regulatory filings, the TS&W Policies and Procedures Manual which includes the Code of Ethics.
• Coordinating and preparing the Annual Review requirements of Rule 206(4)-7.
• Coordinating regulatory (SEC) reviews and OMUSH internal audits.
• Ability to review and edit all marketing/advertising material including RFP’s and client/consultant questionnaires.
• Manage compliance requests from clients, SMA sponsors, and mutual fund CCO’s.
• Lead compliance education and training of TS&W associates.
• Continue to develop testing procedures for compliance program.
• Represent TS&W at client due diligence meetings.

Requirements:

• Bachelor’s degree or equivalent
• Law degree preferable, but not required
• Minimum five (5) years securities compliance experience with a registered investment advisor, mutual fund, SEC, broker dealer or a major accounting firm.
• Works well under pressure, is organized and detail oriented.
• Knowledge and experience with the Investment Adviser’s Act and the Investment Company Act.
• Experience with long/short products, private placements and mutual funds is a plus.

To apply please send cover letter, resume and salary history to ggoodykoontz@tswinvest.com and put “CCO Search” in the subject line.
 

August 12, 2008

Compliance Officer

First Western Investment Management, Inc. (FWIM) is a SEC-registered investment adviser headquartered in Denver, CO. FWIM offers equity and fixed income investment strategies which serves a large and diversified client base, including pension funds, corporations, institutions, endowments, foundations and high net worth individuals.  FWIM is a wholly owned subsidiary of First Western Financial, Inc. a fast growing Bank Holding Company with bank subsidiaries in the western states.

Act as the primary compliance officer of FWIM’s California investment management offices, currently focused on fixed income management but also including equity management, offered through individual holdings, limited partnerships and a sub-advisory relationship to an outside mutual fund.  Responsibilities also include assisting the Chief Compliance Officer in updating and merging the firm’s compliance program, policies and procedures.  This is a key position within the organization, requiring proven analytical, consultative and problem solving skills.

Key Responsibilities:

• Act as the primary compliance resource in FWIM’s S. California office while communicating and reporting to FWIM’s Chief Compliance Officer at its headquarters in Denver, CO.
• Administer FWIM’s policies and procedures.
• Manage ongoing risk and conflicts assessment activities.
• Assess the effectiveness of FWIM’s systems of internal controls through compliance oversight procedures.
• Support strategic initiatives such as acquisitions, geographic expansion, and business development opportunities.
• Assist CCO with regulators and regulatory examinations.
• Collaborate with business partners and CCO to resolve compliance issues related to existing and/or new practices.
• Manage the resolution and remediation of compliance matters.
• Provide compliance training as necessary, including preparation of reference materials and presentations.
• Represent Compliance in client due diligence meetings, and on various oversight committees as needed.

Experience:

• Minimum of 10 years experience in the Securities industry.
• Minimum of 5 years as an investment adviser compliance professional.
• Bachelor's degree
• Comprehensive knowledge of Federal Securities Laws, including the Investment Advisers Act of 1940.
• Expertise in asset management operations and products, including institutional accounts, private funds, and structured products.
• Extensive SEC regulatory experience.
• Familiarity with regulatory filings (i.e. 13F’s)
• Experience with Advent’s Portfolio Accounting and Trading systems and Bloomberg essential.

Required Attributes & Skills:

• Demonstrated ability to exercise independent judgment and manage multiple priorities and deadlines.
• Excellent communication skills
• Ability to recognize and identify issues, articulate relevant factors, evaluate alternative solutions, and escalate issues when necessary.
  •Proven leadership and management skills, including ability to implement change.
• Excellent interpersonal skills and ability to develop effective working relationships with business partners and external parties.
• Managing through change while remaining focused on business objectives.
• Series 65 preferred
• Proficient in MS Office Excel

Successful candidate must pass drug screen and background check.

EOE/M/F

First Western provides a comprehensive benefits package including medical, dental, flexible spending, short - and long-term disability, life insurance and 401(k).

Email Resumes to: careers@fwtb.com
 

July 14, 2008

Chief Compliance Officer

Founded in 1983, Voyageur is an SEC-registered investment adviser headquartered in Minneapolis, MN. Voyageur offers equity and fixed income investment strategies under the Voyageur and Tamarack names. Voyageur Asset Management Inc. is a wholly owned subsidiary of RBC Capital Markets Holdings (USA) Inc.

To act as the Chief Compliance Officer of Voyageur Asset Management's Investment Adviser business, including responsibility for the firm's compliance program. This is a key leadership position within the organization, requiring proven analytical, consultative and problem solving skills.

Key Responsibilities:

• Administer Voyageur's policies and procedures in accordance with Rule 206(4)-7.
• Act as the primary compliance resource for Voyageur, and as a key compliance liaison for affiliated entities.
• Manage ongoing risk and conflicts assessment activities.
• Assess the effectiveness of Voyageur's systems of internal controls through compliance oversight procedures.
• Support strategic initiatives such as acquisitions, geographic/global expansion, and business development opportunities.
• Act as primary contact with regulators, and manage regulatory examinations.
• Identify compliance obligations under the Federal Securities Laws, and assess the effectiveness of policies and procedures.
• Monitor regulatory developments and revise policies and procedures as necessary.
• Collaborate with business partners to resolve compliance issues related to existing and/or new practices.
• Manage the resolution and remediation of compliance matters.
• Provide compliance training as necessary, including preparation of reference materials and presentations.
• Represent Compliance in client due diligence meetings, and on various oversight committees.

Experience:

• Minimum of 15 years experience in the Securities industry.
• Minimum of 8 years as an investment adviser compliance professional.
• Bachelor's degree
• Comprehensive knowledge of Federal Securities Laws, including the Investment Advisers Act of 1940.
• Expertise in asset management operations and products, including institutional accounts, wrap fee programs, and private funds.
• Extensive SEC regulatory experience.

Required Attributes & Skills:

• Demonstrated ability to exercise independent judgment and manage multiple priorities and deadlines.
• Ability to recognize and identify issues, articulate relevant factors, and evaluate alternative solutions.
• Proven leadership and management skills, including ability to implement change.
• Excellent interpersonal skills, and ability to develop effective working relationships with business partners and external parties.
• Managing through change while remaining focused on business objectives.
• Relocation is available.
• Must be eligible to work in the US without requiring sponsorship.

To apply: please go to www.rbc.com/careers and enter 92831 at “Search by Position ID”.  Otherwise, if you are having difficulties accessing the site, please send your resume and cover letter to hayley.stuckel@rbc.com.
 

June 26, 2008

Investment Adviser

Who we are looking for...

We are seeking an exceptional and experienced individual to join our investment management team. With a focus on global tactical asset allocation primarily utilizing actively managed mutual funds, ETFs, and alternative investments, you will help us expand and service our existing base of wealthy individuals, families, endowments and retirement plans.

Your professional qualifications...

• have experience working with wealthy individuals and families. Institutional client management also a plus
• either have existing clients or demonstrate the ability to generate new business
• either have or demonstrate the ability to develop a network of potential referral sources (e.g., CPAs, attorneys, etc)
• be willing to implement a model portfolio strategy developed by a centralized investment committee of which you will be a member
• have a familiarity with various aspects of hands-on portfolio management including tactical asset allocation, manager selection, traditional and non-traditional asset classes, and the various investing styles
• share the firm's investment management philosophy
• have an awareness of financial planning issues related to managing wealth
• ideally have earned an MBA, CFA, CFP or CPA

Your personal qualities...

• participate in the firm's client service-focused culture
• have a desire and ability to work in a team-based environment
• have a demonstrated ability to earn the trust and respect of clients and peers
• have an extremely high level of personal and professional integrity

Your responsibilities...

• serve as a secondary client service contact for  a limited number of existing clients.
• After a training period, you will serve as a primary contact for some of these clients
• participate in all aspects of servicing clients, including
• Assisting clients in setting an investment strategy, implementing an initial asset allocation, rebalancing and all trading within each client's portfolio, implementing strategy changes, etc.
• Conducting regular meetings with clients to review portfolio strategy, account activity, performance, etc.
• Maintain and/or establish relationships and coordinate with clients' other professional advisors
• (CPAs, attorneys, etc.) as needed
• be a member of and participate in the firm's Investment Committee

Learn more about us at www.lgam.com

Please send cover letter, resume and salary history to Director of Resources, jobs@lgam.com.
 

June 26, 2008

Assett Class Research Analyst

Job Location: Orinda, California

We are looking for an experienced analyst who has a passion for investing, an interest in fundamental asset class research, and a belief in a patient long-term approach to investment decision-making. He or she should have a strong analytical foundation preferably with some background in either general asset class analysis or experience related to a specific asset class. Demonstrated ability to sort through and synthesize information to determine what's important and what's not, is a requirement as is the ability to identify and understand complex relationships between asset class variables.

The job will involve ongoing research of specific asset classes, a variety of asset class and investment research projects, monitoring of third party research, involvement in scenario analysis, and over time, potential input into tactical asset allocation decisions.

In addition, the job includes extensive writing responsibilities for our research publications that are distributed through various channels to our clients, mutual fund shareholders and the financial advisor community. These responsibilities, which are shared with other team members, may involve communicating our investment approach, our outlook for the markets, discussing the performance of our portfolios and mutual funds, educating clients, and providing context and perspective on investing.

We also expect that over time there will be some responsibility for outside communications including occasionally speaking at client and industry conferences, and at smaller gatherings of our business partners or clients.
Please note: We seek an individual willing to make a long-term commitment to our company. The candidate we select must either live in the area or be willing to relocate in order to work from our Orinda, California office.

Requirements:

• A passion for the investment industry and a high level of investment curiosity and intellectual honesty
• A thorough understanding of the capital markets and familiarity with mainstream asset classes
• Ability to think independently and exceptional qualitative and quantitative analytical skills. (Candidates may be given an analytical assignment as part of the interviewing process.)
• Ability to write top-notch, publication-grade investment articles that require minimal editing or supervision
• (Candidates may be given a writing assignment as part of the interviewing process.)
• Outstanding interpersonal and public-speaking skills
• CFA is highly desirable
• Warm personality with a good sense of humor, team orientation and a passion for learning

Learn more about us at www.lgam.com

Please send cover letter, resume and salary history to Director of Resources, jobs@lgam.com.
 

June 26, 2008

Compliance Officer

Description:  McDonnell Investment Management, LLC is a registered investment adviser located in Oak Brook, Illinois, with assets under management of approximately $12 billion.  Our core business includes separate account management and alternative credit strategy funds for corporations, retirement plans, municipalities, hospitals, endowments, foundations, insurance companies, private clients and mutual funds.

We have an opportunity for a Compliance Officer who is highly motivated and enjoys working in a team environment.  This position will report to the Chief Compliance Officer and with direction from the Legal/Compliance Team.   Area of focus may include Investment Advisers Act related matters such as registration, compliance with the firm’s Code of Ethics policies and procedures, exception reporting analysis and Marketing Material review. Specific responsibilities include:

• Review advertising and sales marketing material to determine whether the documents are in compliance with relevant regulations and industry standards.
• Review client and educational presentation material for accuracy and consistency with internal/external sources and various systems.
• Devise, monitor and review disclosures for accuracy with a focus on performance and attribution claims.
• Perform reviews on Consultant databases on the posted commentaries and performance data.
• Review RFP and other due diligence responses for accuracy and consistency with associated reports.
• Conduct surveillance of electronic correspondence on as needed basis.
• Participate in the Firm’s annual review by developing testing programs in the marketing arena.
• Review and monitor gifts and entertainment and contributions that involve the marketing, sales, and client service groups.
• Review and track solicitation and referral fee arrangements.
• Conduct periodic compliance training sessions and perform other compliance projects as needed.

Qualifications:  Four year bachelor degree, preferably in accounting, business, mathematics, finance or economics. Minimum 3-5 years of compliance experience in an asset management or financial services firm.  Serious 65 is a plus.  Experience working with fixed income products; familiarity with structured products and private funds a plus.  Organized and detail-oriented with the ability to multi-task.  Self starter with the ability to work both independently and in a team environment.  Strong analytical and presentation skills are required.  Ability to compose and edit material for compliance purposes.  Works well under pressure to meet deadlines.  Proficient in Word, Excel and Powerpoint.

Compensation / Benefits:  McDonnell Investment Management, LLC is an equal opportunity employer offering a friendly, professional environment with business casual dress.  We offer a competitive compensation package (including salary and discretionary bonus), with comprehensive benefits including medical, dental, life insurance and participation in the company’s 401(k) plan.  If you are looking for an opportunity to contribute to a dynamic team and work in an entrepreneurial environment, send your resume and salary requirements to us by fax at 630-368-3977 or e-mail to eckerte@mcdmgmt.com, or mail your resume to:

McDONNELL INVESTMENT MANAGEMENT, LLC
Attn:  Corporate Administration Manager
1515 West 22nd Street, 11th Floor
Oak Brook, Illinois  60523
 

May 13, 2008

Compliance Analyst

Dreyfus Corporation, a leading mutual fund company located in New York City is seeking an experienced Compliance Analyst.  Responsibilities include:

Assisting in administering the Compliance Program for Dreyfus and MBSC (investment advisers). Design and perform testing on adviser policies and procedures.  Perform annual reviews of adviser policies and procedures and make recommendations for improvements.

6 years background in Compliance, Fund Accounting/Administration, Internal Audit, Distribution and/or Legal preferred.  A minimum of two years Compliance and/or internal audit experience required.  Bachelors degree, good understanding of investment advisers, mutual funds, knowledge of securities and markets, basic knowledge of securities laws relating to Investment Advisers.  Excellent written, oral and presentation skills.  Strong PC skills and ability to interface effectively on systems issues.

Please send a resume and cover letter summarizing qualifications and salary requirements to bartlett.ma@dreyfus.com
 

May 13, 2008

Portfolio Manager & Senior Investment Officer

Perkins Coie Capital Management, LLC, a Seattle-based investment advisor that serves high net worth individuals and charitable funds, is seeking a Senior Investment Officer who will be responsible for the management of clients' trust and investment portfolios.

Will coordinate internal fixed income strategy with the Chief Investment Officer, including strategy, research/analysis, trading as well as selection and monitoring of external advisors as appropriate for client