We are seeking a highly motivated, detail oriented, and experienced Director of Financial Planning to join our team, reporting to Will Beamer.  The ideal candidate will have over eight years of financial planning and management experience in the wealth management industry and will work closely with our advisors in a team-based setting.  The Director of Financial Planning is expected to make a direct impact to the business and Firm’s growth initiative by providing thought leadership within the Firm, overseeing the planning department and process of delivering customized personal financial solutions for new and existing clients, and driving business development through community and industry involvement.

Job Responsibilities:

• Lead the Planning Department to further the Firm’s long-term strategic goals and progress toward key planning and client experience initiatives.
• Own and drive the financial planning process which includes designing, analyzing, and presenting customized plans tailored to each client’s facts and circumstances.
• Manage a team of Financial Planners and Paraplanners; mentor, train, monitor and manage the financial planning workload and communicate with the entire advisory team. Provide feedback for improvements and efficiencies to the planning deliverable and advance professional development of team members. Provide second level support for difficult or complex plans.
• Coach and counsel advisors and planners on financial planning strategies via formal training and on a case-by-case basis to serve client needs.
• Identify issues and planning opportunities for review and discussion with clients and clients’ advisors.  Areas of emphasis to include financial goals analysis, estate planning, education planning, charitable giving, tax issues, insurance planning needs, Social Security, and executive compensation.
• Deliver plans to clients and their advisors in a clear and understandable manner.   Responsibilities will include meeting preparation, financial plan construction, direct client contact, meeting follow-up and client service.
• Serve as a subject matter expert, staying current on planning issues, communicating updates to staff, and contributing content to the Firm’s website and third-party publications.
• Drive business development through community exposure and professional networks.

Qualifications and Requirements:

• CERTIFIED FINANCIAL PLANNER^TM (CFP®) designation required.
• Over eight years of financial planning experience and five years of management experience in overseeing a team of professionals.
• Bachelor’s degree (MBA strongly preferred).
• Certified Private Wealth Advisor (CPWA) a plus.
• Proficient in Microsoft Office suite (Word, Excel, PowerPoint).
• Solid understanding of personal tax issues. CPA a plus.
• Proficiency with financial planning, Social Security analysis, and tax projection software; MoneyGuide Pro, eMoney, Tamarac Reporting, and BNA Income Tax Planner / CFS Tax Tools expertise a plus.
• History of community involvement and a broad professional network.
• Professional, personable, tactful, efficient, and self-motivated.
• Strong interpersonal skills and sense of teamwork valued.
• Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required.
• Entrepreneurial-minded approach to business; small/midsize company experience preferred.
• Strong written and verbal communications skills.

This position is exempt and is paid according to the laws of the State of California.

Dowling & Yahnke offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan.  The chosen candidate will be required to successfully complete a full background/credit check at the offer stage.

Dowling & Yahnke, LLC is an Equal Opportunity employer.  No relocation assistance is offered for this position; candidates not residing in San Diego County, CA will be responsible for relocation at their own expense.  Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available.

Interested candidates should apply here.

We are seeking a highly motivated, detail-oriented Compliance Administrator (CA) to join our team. The CA will report to the Chief Compliance Office (CCO).  The successful candidate will possess exceptional working knowledge of the U.S. securities laws, regulation of investment advisers, and the administration of adviser compliance programs.

The CA candidate must have a strong work ethic, attention to detail, as well as a strong command of the English language with emphasis on writing, grammar, and punctuation.  Also, familiarity with industry applications such as trading, portfolio management systems, and reporting software are essential to this position. Strong problem-solving and decision-making skills will also be beneficial to the success of this position.

The CA is expected to make a direct impact to the business by leading the development and monitoring of business systems and processes to ensure that the Firm meets regulatory expectations and Firm policy objectives.

Job Responsibilities:

Responsibilities will include, but are not limited to:

• Assist the CCO with the regular reviews and amendments of internal policies and procedures. This includes: i) lead internal annual reviews to determine the adequacy and the effectiveness of the implementation of D&Y internal policies and procedures and ii) develop responses, including new policies and procedures, to internal reviews and audits.
• Lead efforts alongside other departments to build out compliance-related business systems, data management, and data integrity including but not limited to; i) performance and composite data compliance, ii) trade reconciliation, iii) performance distribution, iv) IPS status, v) regulatory disclosure delivery, vi) books and records, vii) monitoring securities definitions and reorganizations, and viii) other relevant business data.
• Manage periodic compliance tests, internal audits, and the administration of the annual compliance program review as required by Rule 206(4)-7.
• Create and communicate D&Y staff training regarding Firm compliance policies. Be a multi-point regulatory subject matter expert for both departmental and Firm-wide needs.
• Represent and provide guidance on compliance-related matters within Firm committees and initiatives.
• Lead special compliance-related projects, as assigned, and collaborate with the other team members on routine and ad hoc projects.
• Identify, assess, and prioritize regulatory and business risks based regulatory updates and changes to business model. Conduct regular risk assessments of compliance program against regulatory best practices and statutory requirements.
• Manage new and existing vendor due-diligence process, ensuring start to finish completion of the internal due-diligence process.
• Supervise our proxy voting process, vendor, and voting records.
• Evaluate suitability of advertising and marketing materials, including RFPs, RFIs, and industry surveys, against regulatory prohibitions and industry standards. Drive the creation and updating of pre-approved, standardized marketing material.
• Work with the CCO to draft new disclosures where necessary for general advertising, sales, and marketing materials, and train other professionals in required disclosures to assist in their compliance-related responsibilities.
• Evaluate, manage, and maintain the Firm’s compliance technology reporting system including the Firm’s Code of Ethics administration through reviewing, monitoring, and approving pre-approval requests for personal trades and monitoring for Code of Ethics violations.
• Manage securities claims and class action litigation client data requests from the Firm’s outsourced claims processing vendor.
• Oversee compliance aspects of the recording and processing of daily client checks received by the Firm.
• Other duties and projects as assigned

Qualifications and Requirements:

• BA/BS degree required
• Minimum five (5) to ten (10) years of work experience in Financial Services; exceptional working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and other relevant regulatory requirements.
• Experience with operations of a Registered Investment Adviser (RIA) firm.
• Experience with Schwab Web and Schwab Institutional, Tamarac, and Salesforce CRM a plus.
• Excellent written and oral communication skills required, including spelling, grammar, punctuation, and business writing.
• Proficient in all MS Office applications, particularly Word, Excel, and Outlook.
• Professional, personable, tactful, efficient, and self-motivated.
• Strong interpersonal skills and sense of teamwork valued.
• Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required.
• Entrepreneurial-minded approach to business; small/midsize company experience preferred.
• Strong written and verbal communications skills.

This position is exempt and is paid according to the laws of the State of California.

Dowling & Yahnke offers a competitive salary, as well as a comprehensive benefits package and profit-sharing plan.  The chosen candidate will be required to successfully complete a full background/credit check at the offer stage.

Dowling & Yahnke, LLC is an Equal Opportunity employer.  No relocation assistance is offered for this position; candidates not residing in San Diego County, CA will be responsible for relocation at their own expense.  Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available.

Interested candidates should apply here.