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Job Summary

Under limited supervision, the Associate utilizes knowledge of finance and investment concepts obtained through education and work experience in order to provide clients with a platform of investment opportunities. Primary functions include conducting quantitative and qualitative due diligence, investment analysis (e.g., financial modeling, risk analysis, validating investment merits, etc.), and making recommendations on domestic, international, and global investment strategies. This will encompass authoring product approval memorandums directed at senior management; making presentations to financial advisors and other constituents; maintaining frequent contact with current as well as prospective fund managers; and supporting financial advisors with requests related to mutual funds and Exchange Traded Funds (ETFs).

The Associate retains significant latitude for autonomous decision-making and, as a participant, with respect to fund manager interactions. In addition to being a key participant in product recommendations for the firm’s investment platform. Additional job functions include authoring whitepapers and research reports that address timely and relevant topics for the investment management industry, training newer associates as needed, providing thought leadership with respect to asset classes under coverage, and assuming a leadership role in various departmental projects.

Essential Duties and Responsibilities

+ Demonstrating a commitment to creating an environment that aligns with the firm’s core values, putting clients’ interests first.

+ Analyzing the investment merits and risks of traditional investments, including but not limited to equity strategies, fixed income strategies, and alternative investment strategies.

+ Fixed Income manager research experience is preferred.

+ Performing quantitative and qualitative due diligence as well as investment analysis (e.g., financial modeling, benchmarking, risk analysis, etc.) on existing and prospective fund offerings.

+ Holding and leading frequent conversations and meetings with fund managers, analysts, and other fund contacts with the aim of better understanding the strategy and process of a given product.

+ Composing and disseminating due diligence and investment updates for those funds on the “Recommended Funds” list for financial advisor use.

+ Playing a pivotal role in decisions relating to the presentation of a fund for inclusion/removal from the firm’s list of recommended funds.

+ Preparing detailed product approval memos on products considered for addition to the firm’s list of recommended funds.

+ Presenting potential fund additions to the firm’s list of recommended funds to the Investment Committee, comprised of senior management.

+ Maintaining broad knowledge of the various fund offerings available at the firm and continuously researching new funds to be considered for potential inclusion to the firm’s list of recommended funds.

+ Conducting due diligence for existing and prospective investment products outside of those funds included in the firm’s recommended list.

Knowledge, Skills, and Abilities

Knowledge of

+ Quantitative and qualitative understanding of the investment management business and performance measurement.

+ Macro and microeconomics and their impact on investment strategies.

+ Financial markets, products, financial advisory function, and investment process.

+ Advanced investment concepts, practices, and procedures used in the securities industry.

+ MS Office applications.

+ Morningstar Direct.

+ FactSet IRN (Internal Research Notes).

Skill in

+ Excellent written and verbal communication skills.

+ Detail orientation sufficient to thoroughly complete assignments, and ensure quality standards are met without impairing workflow.

+ Presentation skills.

+ Microsoft Excel.

+ Microsoft PowerPoint.

Ability to

+ Handle multiple priorities

+ Write in a well-organized, concise yet complete format and use verbal and written communication skills to effectively and professionally communicate with all levels of the organization, including financial advisors.

+ Self-motivate

+ Serve as a role model to less experienced associates

+ Meet multiple critical deadlines

+ Work independently as well as collaboratively within a team environment

+ Address advisor inquiries in a timely and effective manner

+ Maintain composure in stressful situations

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A.) in Finance, Business, or Economics with three (3) years’ experience in either financial services or an accounting role.

+ Relevant internship experience (accounting, finance, or investment-related).

+ OR ~

+ An equivalent combination of education, experience, and/or training as approved by Human Resources.

Licenses/Certifications

+ SIE is required, provided that an exemption or grandfathering cannot be applied.

+ Series 7 or the willingness to obtain within 6 months of employment.

+ CFA w/in 3 years of hire, or demonstrated progress towards its completion.