Jobs

Business Overview:

Northern Trust is a global asset management organization with approximately US$ 1 trillion in assets under management. For over 125 years, Northern Trust has earned distinction as an industry leader for exceptional service, financial expertise, integrity and innovation. The asset management arm of Northern Trust manages portfolios for institutional and high net worth investors across all asset classes. We offer a full array of active, passive and quantitative investment management, as well as manager of managers, transition management and securities lending solutions for institutional investors. We take a consultative approach to assessing client needs and developing innovative investment solutions. These range from specific investment mandates across the capital market spectrum to investing and managing a client’s entire portfolio. 

Description:

The candidate will be responsible for the review and analysis of investment data on external investment managers to formulate recommendations for Northern Trust client investment officers and Northern Trust clients. They will be responsible for evaluation, selection, monitoring, and replacement of external investment managers. The analyst will meet with external managers and conduct quantitative and qualitative analysis to formulate a research thesis.   The analyst will be involved in search activity for new managers and will also be responsible for the day-to-day monitoring and oversight of the current manager roster.  Although the candidate will gain exposure to all asset classes, this position’s focus is within fixed income. A solid understanding of investments and financial markets is required, along with knowledge of and experience in fixed income. The ideal candidate will be highly motivated, intellectually curious, be a self-starter and a team player.  Strong analytical, writing, and presentation skills are critical to the role.

Key Responsibilities:

• Evaluate, select and monitor external investment managers.
• Qualitative Analysis: conduct on-site manager interviews for assessment and judgment of manager’s organization, investment process and investment team qualifications and skill.
• Quantitative Analysis: gather and analyze portfolio and performance data, portfolio characteristics, factor exposures and risk assessments.
• Formulate and present investment recommendations on external investment managers to manager research team, internal investment committees and clients.
• Diligent monitoring and oversight of the current manager line-up.
• Conduct analysis and establish rationale for terminating investment managers.
• Actively participate in team meetings by providing regular updates on managers under coverage, market commentary and participating in constructive debates.
• Prepare client materials and participate in face-to-face client presentations including fixed income education and market trends.
• Interpret and communicate industry trends, financial market changes, and investment research recommendations and opinions to client investment officers and clients.
• Contribute to the ongoing enhancement of the due diligence and monitoring process.

Knowledge/Skills:

• Knowledge of investments, financial markets, and financial analysis usually acquired by an advanced degree and related experience.
• Strong statistical background with a solid understanding of quantitative approaches to analyzing data.
• Strong analytical skills and decision-making skills with the end goal of providing investment recommendations based on thorough analysis.
• Excellent communication; both verbal and written.
• Excellent presentation skills and the ability to make economic and investment presentations, both one-on-one and in group settings.
• Self-motivated with the ability to work independently and without direct oversight.
• Intermediate-to-advanced knowledge of Microsoft Excel, PowerPoint, and Word. Experience with returns-based, positions-based, and risk analysis software, such as FactSet, is preferred.
• Experience with eVestment, Bloomberg, Aladdin, Morningstar, and other manager research related applications is a plus.
• Strong attention to detail, ability to juggle multiple tasks, respond to changing priorities, and meet deadlines.
• High ethical and professional standards.
• Ability to work within a team setting.
• Strong work ethic, highly motivated, and eager to learn and grow contribution over time.

 Experience:

• At least 5 years investment or related experience
• Fixed income experience is preferred.
• MBA/CFA preferred.

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The Duff & Phelps team brings together a rare mix of skill, experience, education and credentials in a collegial, collaborative environment.

Job Description

SUMMARY:  This position is responsible for ensuring that the firm and its employees adhere to applicable laws, regulations, policies and ethical standards by supporting and working closely with DPIM’s Chief Compliance Officer (“CCO”) in the development and maintenance of the investment adviser’s compliance program; also identifies weaknesses and potential violations of rules, policies and procedures through thorough significant knowledge and understanding of regulations. Assists with client due diligence matters, supports investment guidelines monitoring and assists with trading related compliance matters. Facilitates the development and implementation of the firm’s compliance training and participates in the marketing review process. This position is located in Chicago and must have a willingness to work in a hybrid work environment (i.e., combination of in-office and remote work).

DUTIES AND RESPONSIBILITIES: (List in order of importance; include any supervisory or management responsibilities)

• Assists in the authoring, implementation and testing of investment adviser and investment company policies and procedures and makes recommendations for improvement.
• Supports investment guideline implementation and monitoring, and provides advisory support related to rules and oversight of registered investment companies and other pooled investment vehicles.
• Assists with compliance support for trading related matters.
• Participates in the firm’s marketing review process and provides guidance to Marketing and Sales teams to facilitate compliance with applicable regulatory requirements and GIPS®.
• Assists with compliance matters for registered investment companies, including due diligence processes for renewal of investment advisory (and sub-advisory) contracts.
• Collaborates with others to fulfill compliance related client reporting requirements and participates in due diligence meetings, upon request.
• Researches new regulatory initiatives for potential applicability to firm and helps to ensure communication of best practices/new rules to appropriate staff within the firm.
• Assists with the development and implementation of the firm’s compliance training program.
• Assists the CCO with management of regulatory examinations, investigations, or inquiries.
• Conducts due diligence on service providers and participates in audit projects, as requested.
• Participates in various firm-wide committees, as appropriate.
• Participates in and/or manages compliance related initiatives and special projects, and performs other duties as required by DPIM’s CCO and/or other senior management.

This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities required for the position.  Other duties may be assigned from time to time by management. 

MINIMUM QUALIFICATIONS: (education, experience, certifications, licenses & skills required)

• BA/BS degree required with 10+ years of relevant compliance related work experience or an equivalent combination of education and experience. Experience with registered investment companies, including closed-end funds, and international clients a plus.
• Solid understanding of the securities industry and regulatory requirements related to the Investment Advisers Act of 1940 and Investment Company Act of 1940 required.
• Experience with other rules and regulations under the Securities Act of 1933, and the Securities Exchange Act of 1934, and FINRA a plus.
• Must possess strong analytical aptitude and problem-solving skills.
• Excellent PC skills with high proficiency using MS software and internet research capabilities.
• Detail-oriented with the ability to manage multiple projects simultaneously, establish priorities, work independently, handle interruptions and proceed with objectives without supervision.
• Excellent communication (verbal and written), organizational, presentation and time management skills.
• Demonstrated success in building and maintaining strong internal and external relationships.
• Ability to exercise good judgment and exchange complex information effectively to reach agreement in ambiguous situations.
• Professional demeanor and high degree of confidentiality; strong emotional intelligence and ability to build trust and confidence.
• Ability to collaborate with fellow team members to implement best practices and achieve objectives within the project timeline.
• Familiarity with Environmental, Social and Governance (ESG) factors and global regulatory requirements a plus.

PHYSICAL REQUIREMENTS:

• Willingness to work in a hybrid work environment (i.e., combination of in-office and remote work).
• Ability to operate a computer, sit for prolonged periods and perform repetitive motion activities.
• Lift up to 25 pounds.

Base Salary Range:  $106,000 to $130,000 /annually.

The starting salary offer will vary based on the applicant’s education, experience, skills, abilities, geographic location, internal equity, and alignment with market data.

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Pure Financial Advisors, LLC is a fee-only Registered Investment Advisor (RIA), providing comprehensive retirement planning services and tax-optimized investment management services with over 4 billion in AUM. We are headquartered in San Diego and have branch offices in California (Brea, Irvine and Los Angeles); Seattle, WA (Mercer Island); Denver, CO; Chicago, IL and we are looking to expand in other cities.

We are looking for an individual that has a thorough knowledge of the financial services business, including, but not limited to, the ability to process financial data to develop accurate, attractive, and professional reports and create financial planning recommendations (e.g., cash flow, risk management, estate planning, investments, and tax). We are looking for high quality individuals that can provide comprehensive retirement planning solutions and tax-optimized investment management strategies, that will adhere to fiduciary standards and act in the best interest of our clients.

Requirements:

• Must have 7 years of industry experience.
• CFP® designation required (or must obtain within 18 months of date of hire).
• Bachelor’s degree in business, finance or similar fields preferred.
• Ability to assess a prospective client’s needs and their financial goals.
• A solid understanding of retirement planning, estate planning, tax planning, cash flow, investment and asset allocation strategies, and risk management.
• Effective communication skills. Ability to deliver comprehensive financial plans to clients.
• Strong relationship-management skills.

Why become an Advisor with Pure? We provide specialized support so that our Advisors can spend their time where they need to – in front of clients, managing the client relationship and providing comprehensive financial planning advice.

Below are examples of how we provide support to our Advisors:

• Marketing & Business Development –We generate the leads so that our Advisors don’t have to invest their time on marketing efforts. This is done in various way, including our educational classes and client events, as well as Your Money, Your Wealth® television and radio shows. We have teams focused on marketing and business development to handle calls from numerous prospective clients – people that want to sit down with a CFP®. We also set the appointments, so that the Advisor can spend the time meeting with prospective clients, gaining a better understanding of their needs and how we can help them meet their financial goals.
• Financial Planning –Our extensive Financial Planning department is comprised of dedicated CFP® and CPA® professionals that partner with our Advisors and provide comprehensive and detailed advice on all aspects (financial planning, tax planning, estate planning, retirement planning, etc.) of the client’s life – We take a deep and PURE dive into planning.
• Investment Management –Pure’s trading department works with Advisors on managing the client’s portfolio in a tax optimized way – daily rebalancing, tax loss harvesting, asset location, etc.
• Operations and Client Services – We have client service teams to handle everything – they work with the custodians to ensure all transactions are taken care of and take the paperwork off the Advisor’s “to-do” list!
• Unparalleled Professional Development –Advisors receive constant training on new laws, concepts, planning ideas etc. We are dedicated to providing growth and development to not only our Advisors, but all members of our team.

Additional Details:

• Salaried position + Benefits
• Starting base salary: $125,000; however, salary will move to a variable compensation structure (that exceeds the base salary) if/when certain milestones are achieved.
• Salary may also be based on factors including, but not limited, to experience, licenses/certifications, industry knowledge, ability to bring clients subject to contractual release.

Benefits package includes health (medical, dental, and vision insurance), group and voluntary life/accidental death & dismemberment (AD&D) insurance, long-term disability insurance (LTD), a 401(k) plan with an employer match, as well as a generous paid time off policy.

Interested?

We are looking for high quality individuals that can provide comprehensive retirement planning solutions and tax-optimized investment management strategies, that will adhere to fiduciary standards and act in the best interest of our clients.

Candidates should submit a resume to careers@purefinancial.com.

Company Overview:

Reinhart Partners is an investment manager located just north of Milwaukee, WI.  Our six-person investment team manages $2.5 billion in assets under management in four long-only equity strategies.  Our focus is small and mid-cap investing in both domestic and international markets.  Please see our website for more detailed information regarding our firm and investment strategies at www.reinhart-partnersinc.com.

Our investment style can be characterized as high quality with a disciplined valuation framework and a long time horizon.

Position:

Equity Research Analyst

Responsibilities:

• Research ownership of 1-2 sectors
• Source ideas via our proprietary screen, conferences, company meetings, etc.
• Research and due diligence of potential investment ideas
• Perform competitive analyses of industries and companies
• Financial analysis and modeling
• Establish intrinsic value estimates using private market value
• Recommend investment ideas to portfolio management team

Qualifications:

• MBA degree, CFA a plus
• 3+ years of equity research experience, buy-side preferred
• Demonstrated passion for value investing
• Understanding of financial and accounting principles
• International investing experience a plus
• Foreign language competency a plus
• Independent thinking
• Strong work ethic
• Excellent communication skills

Please send resumes/CVs to Matt Martinek mmartinek@reinhart-partnersinc.com

ROLE SUMMARY

Northern Trust Asset Management is looking for a self-motivated, detailed oriented, deadline driven candidate to join its Investment Performance Team. This person will be responsible for the investment performance reporting processes for diverse portfolio strategies including fixed income, equity and alternative assets, particularly within Outsourced Chief Investment Office (OCIO) mandates. They will also provide investment performance analysis and support to Portfolio Management, , Product, Marketing, and OCIO teams as well as third party distributors. In addition to strong problem solving skills, the ideal candidate will be extremely thorough while having the confidence and communication skills to interact with various departments and levels of management within the company. The role requires a detailed individual who thrives in a deadline driven environment and is team-oriented and collaborative to deliver on work projects.

PRIMARY DUTIES AND RESPONSIBILITIES

• Provide investment performance and attribution analysis reporting for external and internal recipients.
• Calculate and compile investment performance and characteristics information required for client reports. 
• Serve as the subject matter expert on specific Asset Management product offerings with familiarity across other product offerings.
• Identify and implement improvements to existing processes to further gain operational efficiency and productivity.
• Interface with portfolio managers, product and/or client servicing colleagues to understand servicing requirements and assist in identifying problem solving strategies.
• Set up accounts, monitor and assure quality of data for clients and partners.
• Implement special processes/procedures to support specific requirements of individual clients.
• Assist in preparing information for  committee meetings or meetings with senior management, and in some cases participate in those meetings.
• Mentor and participate in training of new analysts. 
• Participate and contribute toward the success of special projects.
• Maintain records of client deliverables, deadlines and custom procedures.
• Keep up with market conditions and developments in order to recognize and understand the market environment.

NECESSARY KNOWLEDGE AND SKILLS

• Technical expertise and understanding of performance and attribution methodology; prior work with multi-asset class products and/or OCIO clients is beneficial.
•  Strong analytical skills and understanding of finance and investment vehicles in order to resolve inquiries of rate of return calculation and determine accuracy of reported data.
•  Strong oral and written communication skills.
• Strong knowledge of investment applications.
• Experience in driving digital and automation-driven transformation to generate efficiencies and scalability.
• Ability to manage multiple tasks simultaneously and with accuracy.
• Highly flexible and adaptable to change.
• Ability to operate in a deadline driven environment while still maintaining a strict attention to detail and ability to prioritize issues appropriately.
• Advanced Excel skills required.

 NECESSARY EXPERIENCE AND EDUCATION

• Bachelor’s degree and/or relevant proven work experience
• 3-5 years of investment performance and/or investment operations/accounting experience preferred
• Pursuing a CFA, and/or CIPM designation preferred
• Sound understanding of equities, fixed income securities and alternatives (private equity, hedge funds, etc.) both separately managed accounts, public and private funds
• Prior investment management industry knowledge

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About Northern Trust Asset Management

We are a premier asset management firm, focusing on delivering unique insights and superior risk adjusted returns in partnership with our clients.

 Who We Are

We measure success as achieving investors’ desired outcomes and delivering an exceptional client experience, rather than simply beating a benchmark. We work hard to provide clarity, to minimize complexity, to explain risk and to avoid unexpected surprises.

We are client focused

We have a clear mission: deliver superior investment performance and client service to our clients. 

We are intellectually curious

We constantly search for “what we don’t know” – keeping an open mind to new ways of improving our investment process and interactions with our clients.

We are always seeking diversity of thought

We work as a team that values diversity and inclusion. That extends to diversity of thought and open communication.

We are collaborators

We foster a culture of collaboration in which we learn from and inspire one another. That collaboration extends to our clients where collaboration can lead to real problem solving.

We are innovators

We have intentionally organized our global fixed income professionals around core competencies as it relates to sources of risk. A focus on core competency, with investors close to the ground, keeps us connected to market innovations as we maintain a foundational view of risk. This model creates flexibility – and when combined with our technology model, it allows us to be innovative in partnership with our clients.

 We are responsible investors

As stewards of capital, we believe we have a responsibility to our clients to have an active understanding of the risks posed by non-financial risks. Our teams have access to a proprietary data model which enables them to evaluate a wide variety of applicable metrics across environmental, social and governance factors. We believe this is part of a comprehensive fundamental research process as well as an integral part of the risk management process. It can also be a source of alpha.

Our Culture

In simple terms our culture can best be described as empowerment with accountability.

Our culture is based upon the power of the idea and not the source. It is disciplined and analytical, yet extremely challenging and collegial. We hold ourselves to a high standard of excellence and strive for complete transparency and open-dialogue in our interactions and decision making. Our investment process is the embodiment of our culture. Our assumptions need to be constantly “challenged with respect” and that only happens if we foster a meritocracy.

Our research and portfolio management teams are fully integrated. We believe the combination of these skill sets and perspectives directly benefits our clients. The portfolio managers’ skill set includes market knowledge of the structural and fundamental drivers of asset classes, sectors, and individual corporations acquired through years of experience and research. Our fundamental researchers provide a deeper analysis and examine risk and return opportunities across the entire capital structure while also incorporating non-financial risks into their analysis. Our quantitative researchers provide a complementary skill set in the form of higher-level quantitative and programming skills that are applied to the development and improvement of both our security selection and overall investment processes.

The combination of these skills sets, combined with our macroeconomic research and scenario analysis, provides for a sophisticated, intuitive, and fundamental approach to making investment decisions. We have also built the proprietary systems and tools that allow our teams to adequately define and measure key risks – this forms the backbone of our investment process and is the “common language” we all speak. Importantly, it also allows risk management to be integrated into the investment process at every step. Put simply, we are all managers of risk.

Lastly, these teams come together with our portfolio construction team to ensure that risks are taken prudently and efficiently – emphasizing intended risks and more importantly, eliminating unintended risk from the portfolios we manage. We are then further supported by a robust infrastructure of traders, operations, client service, and dedicated risk management and systems professionals who provide the framework upon which our investment skills are supported.

About Your Role

Responsible for working closely with senior capital structure analyst to assist in preparing and executing various analyses of company and industry trends that directly translate into credit and stock recommendations within the Industrial, Consumer Cyclical, and Utility sectors.

PRIMARY DUTIES AND RESPONSIBILITIES

• Create and maintain financial models, valuation analysis, and written reports on companies, industry trends, and investment recommendations.
• Collect, evaluate, and apply statistical and financial analysis with respect to researching stocks or credits within the Industrial, Consumer Cyclical, and Utility sectors.
• Prepare reports, opinions, recommendations, and presentations for use in the formulation of investment recommendations for portfolio managers.
• Performs fundamental financial and credit analysis using publicly available information, integrating conclusions with outside opinions and rating agency data. Recommends suitability of securities for individual portfolios and commingled funds.
• Ensures that assigned issuers and industry sectors are reviewed, analyzed, and documented on a timely basis, so that all internal and external regulatory requirements are fulfilled.
• Performs special analysis projects, such as valuation of nonmarketable debt securities, exchange offerings, and credit risk evaluation of derivative financial products, under the supervision of division manager or senior analyst.
• Assists division manager or senior analyst with private placement purchases of debt securities.
• Builds communication links with outside rating agencies, sell side equity analysts, and sell side fixed income analysts.
• Assist in engagement efforts with Management teams and Board of Directors of target companies.
• Answer inquiries from portfolio managers regarding individual credits, securities, or industry groups.

REQUIRED KNOWLEDGE AND SKILLS

• Strong interest and knowledge of equity and fixed income investments and the financial markets, usually acquired by an advanced degree and related experience.
• Intellectual curiosity and enthusiasm for investing.
• Strong work ethic, resourcefulness, and the ability to think critically under time constraints.
• Strong financial modeling skills and in-depth experience with Microsoft Office.
• Presentations skills needed to communicate portfolio construction recommendations.
• Proficient in interpersonal, written, and communication skills with a high level of attention to detail.
• Able to work effectively and collegially across a multi-disciplinary global investment team.
• Essential to be self-motivated, with an ability to prioritize and work well individually and within a team environment.
• Familiarity with Bloomberg, FactSet, and Aladdin a plus.

REQUIRED EDUCATION AND EXPERIENCE

• 5 + years of High Yield experience required.
• Degree in finance, economics, or related field.
• At least 5 years of fixed income and/or equity research experience.
• Progress towards MBA or CFA strongly preferred.

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Northern Trust Asset Management – Business Overview

Northern Trust is one of the world’s largest asset management firms with approximately $1 trillion in assets under management across a range of investment strategies.  Thoughtful investors worldwide are making Northern Trust their asset manager of choice because they develop the answers clients need for today’s challenging world.  They have a level of client dedication and collaboration clients can’t find anywhere else, and are anchored by renowned integrity and stability. Their investment process combines exhaustive research and vigilant risk management to provide a solid foundation for investing, and they also have an integrated technology platform and processing infrastructure that work around the clock and around the globe.

JOB DESCRIPTION

This person will serve as the head of all compliance-focused due diligence activities involving supervision of sub-advisers and other third-party managers.  In this role, this person will work closely with the CCOs within NTAM, NTAM’s Operational Due Diligence Team, and NTAM’s Multi-Manager Research Team, and with other Northern Trust partners in the business unit and risk management, as well as internal and external counsel, to proactively administer and maintain a comprehensive compliance program.

Responsibilities:

• As the Head of Sub-Advisory Compliance, administer a program of supervision of all sub-advisory entities, including client reporting, board reporting, 15c reporting, client due diligence meetings.
• Provide a center of expertise in relation to all aspects of US regulation that impact the sub-advisory business. Advise and assist CCOs and other senior leadership in carrying out their governance and oversight responsibilities in compliance with prevailing regulation, applicable laws, policy and best practice.  Keep the business up to date on developments or changes that may affect their areas, and work with them to implement effective, innovative solutions.
• Engage directly with counterparts in compliance and other control teams at third-party managers.
• Interface with internal business units, corporate compliance, risk management, and legal functions, as well as enterprise-level constituents. Administer and maintain a world class, comprehensive compliance program.
• Serve as a member of various oversight committees.
• Promote a positive compliance culture through communication and oversight of regulatory responsibilities at all levels and developing strong working relationships with the business.
• Participate in and contribute to the decision-making process on selected commercial projects as the need and opportunity arises.

​​​​​​Job Requirements:

• Extensive knowledge of Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, FINRA rules, and CFTC/NFA rules.
• Ability to communicate persuasively and with confidence, professionalism and authority at all levels of the business. Further ability to effectively present to a board of directors and executive officers within asset management.
• Experience working in a bank owned asset manager with both internal and direct distribution channels.
• Sound judgement, with a well-developed sense for risk identification, assessment and management.
• Broad investment product experience including multi-asset and multi-manager solutions.
• Analytical and communication skills required to review laws/regulations, assess their impact, and work with the business unit to implement any necessary policies, procedures, processes, and controls. 
• A flexible, tolerant and collaborative approach towards the business and a desire to work in a diverse, yet conservative culture.
• Outstanding written and verbal communication skills, with demonstrated ability to effectively manage the relationships at the executive level. Proven experience of advising, negotiating, influencing and collaborating with others in the decision-making process across all levels of the organization. 
• Experienced in managing high-performing teams.
• Proven experience of establishing effective, robust and integrated compliance programs.
• Track record of collaborating with executive management and staff to establish and improve operational structures that support business growth while complying with firm policies and regulations.
• Work with legal counsel to provide consistency with applicable regulations. 
• Significant experience interacting with regulators and auditors.
• Must be a self-starter, able to work both independently and as part of a team.
• Highest level of integrity.

Qualifications:

• Bachelor’s degree required; advanced degree or JD preferred.
• Regulatory experience a plus.
• 10+ years as a compliance professional, including at least 5 years supporting a compliance program that includes the Investment Advisers Act of 1940 and Investment Company Act of 1940 Act requirements.

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Why RMB Capital?
RMB Capital Management, LLC is a rapidly growing Chicago-based investment advisory firm
with more than $9.50 billion in assets under management. We are seeking a Wealth Management Associate to join the team in our Lake Forest, IL office.

At RMB Capital, we are committed to building relationships and making a difference. We regularly appreciate our employees who demonstrate our values. We host monthly events including themed happy hours to give our employees the opportunity to build relationships by getting to know each other.

We are passionate about enriching the lives of our teammates, our clients, our partners, and the communities in which we live and work. Our values are:

• Do the Right Thing
• Invest in Relationships
• Never Settle
• Leave No Stone Unturned
• Get It Done

We are actively committed to the personal, professional, and financial growth of each other.
We believe there is no greater accomplishment than knowing that at the end of the day, we are making a difference.

RMB has grown dramatically since its founding in 2005 to be counted among Barron’s Top 50
Independent Registered Investment Advisors (RIAs) globally. Our businesses include wealth management, family office services, asset management, and retirement plan consulting. Our headquarters are in Chicago, Illinois. We have offices in Chicago, Illinois, Denver, Colorado, Lake Forest, Illinois, Milwaukee, Wisconsin, Minneapolis, Minnesota, Oakbrook Terrace, Illinois, St. Joseph, Michigan, and Washington D.C. 

About The Role
Our team is comprised of passionate, forward-thinking professionals eager to take on the
challenge of meeting client’s unique investment and retirement goals. We are looking for a candidate that is inspired by our values and motivated to help people achieve their investment, financial, and life goals.

The Wealth Management Associate (WMA) trains to become a Wealth Advisor. In addition, the WMA performs certain administrative and financial planning functions associated with servicing high net worth clients while working in a team environment. The WMA assists the Wealth Advisor in establishing relationships with clients and is responsible for maintaining client contact, servicing client needs and troubleshooting problems.

Because the WMA has on-going contact with the client, they have a significant impact on the client’s impression and trust in the firm. Accuracy and timeliness of work and communications is critical. Mistakes or missed deadlines could adversely affect the client relationship and/or result in monetary loss and loss of client confidence.

The WMA understands how processes and products work together in a client’s portfolio. Once a minimum of one year’s experience has been achieved, the incumbent assists the Wealth
Advisor with personal delivery of financial planning activities.

Responsibilities

• Establish and maintain effective relationships and provide client service that builds satisfaction and confidence
• Provide support to Wealth Advisors by gathering the necessary data to manage client relationships. Update and inform Wealth Advisors about client activity as appropriate
• Analyze and evaluate the financial status of clients and prospects
• Participate in 1-4 client or prospect meetings or calls each week
• Understand how processes and products work together and apply that knowledge to satisfy client questions and concerns
• Demonstrate critical thinking and good judgment in all situations
• Research and communicate the resolution of complex problems and implement solutions
•  Ensure completion of internal projects
• Develop and present financial planning recommendations, including but not limited to, retirement and education projections
• Provide effective, timely and proactive communication with clients, colleagues and
  third parties

Experience and Education

• Undergraduate degree or equivalent work experience required
• Education or experience in business, economics, or finance and/or experience working with the public preferred
• Exposure to wealth management or financial services and experience servicing customers preferred
• Experience in clubs, activities, sports, volunteer service, etc. helpful, especially leadership experience
• Successful candidates will demonstrate an aptitude to learn and grow in responsibilities and accountabilities over time
• Obtain Series 65 within one year as a WMA
  Prepare for and pass CFP exam Skills and Knowledge
• Demonstrated ability to build mutually beneficial relationships required
• Demonstrated ability to multi-task and prioritize work required
• Must be detail oriented and have demonstrated ability to solve problems and meet deadlines
• Must be able to follow defined processes where they exist while also making adjustments and using good judgment when business circumstances dictate
• Ability to work in a collaborative team environment required
• Excellent written and oral communication skills required

Perks
Benefits – We offer medical, dental, and vision coverage, competitive salaries, profit sharing
plans, a wellness program, employee assistance program and pet insurance.

Hybrid Work, Stipend and Dress for Your Day – We have a hybrid work model where employees are encouraged to work at least 3 days in the office. We offer a Home Office Stipend to cover the cost of buying equipment to work from home. Our dress code is dress for your day to allow our employees to dress comfortably and appropriately for their day.
Wellness Program – We are committed to helping our employees live happy and healthy lives. We offer a comprehensive wellness program which focuses on whole body health and wellness. We have companywide wellness challenges where employees can earn gift cards, national park passes, and more by participating.

Appreciation – We recognize and appreciate employees who stay at our firm with anniversary
awards including extra time off, cash awards and sabbaticals.

Volunteer Days – We are actively committed to the personal, professional, and financial growth of each other, our firm, our clients, our partners, and our communities. We deeply care about philanthropy which is why we allow our employees to take two additional paid days off from work to volunteer at a non-profit organization.

So—what do you think?
If you have made it this far, we are excited to meet you too. We are hopeful that this role will give you the experience to make a difference in our clients’ lives, passion to serve our communities, and fulfillment to make you never want to leave our team.
RMB Capital is an independent investment advisory firm. To learn more about RMB, visit www.rmbcap.com.

RMB Capital Management, LLC provides equal employment opportunities to all employees and
applicants for employment without regard to race, color, religion, sex, national origin, age, disability, or genetics. In addition to federal law requirements, RMB Capital Management, LLC complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, transfer, leaves of absence, compensation, and training.

Location: Remote/hybrid; ideally based in Philadelphia suburbs but open to Northeast/Mid-Atlantic/Central Time Zone
About the Company:
Rosemont Investment Group, based outside Philadelphia, is a small private investor building a portfolio of permanent capital, minority equity investments in employee-owned wealth and asset management businesses. For more than two
decades, Rosemont has been a pioneering specialist investor and helpful partner to investment businesses looking to remain (or become) employee-owned and controlled. It is owned by Markel Group, a publicly traded holding company for global insurance and investment operations.
About the Role:
We are seeking an early- to mid-career investment/finance professional to support both the company’s investment activities and internal financial functions. The ideal candidate should have wealth and/or asset management domain knowledge (industry dynamics, companies, network); financial modeling experience and working knowledge of accounting and deal structures; analytical skills, a mind for business and natural communication skills.
Candidate must be a self-starter, attentive to detail, and enjoy working independently and as part of a very small team. We are looking for a mature, energetic and versatile team player, willing to roll up his/her sleeves on whatever is needed. Someone who thrives in a small firm environment and is looking to create a long-term career with high impact on outcomes.

This is an excellent and unique career opportunity for an early- to mid-career professional, with mentoring and development opportunities and direct involvement in virtually all aspects of our business.
Key Responsibilities:
• Create financial and valuation/transaction models for potential investment opportunities
• Help identify potential investment opportunities through research and networking efforts
• Maintain financial models and investment tear sheets for portfolio companies
• Assist portfolio companies with structuring their financial reporting
• Help with Rosemont’s internal accounting and financial reporting
• Assist with investment due diligence and investment partner support I
• Learn and stay current on industry trends and regulatory developments
Qualifications:
• Roughly 10-15 years of experience in finance/investment management
• Financial modeling/accounting experience and some knowledge of deal structures ‘
• Strong critical thinking and analytical abilities
• Excellent interpersonal and communication skills; networking aptitude
• Ability to wear multiple hats and work both independently and as part of a team
• Solid work ethic and attention to detail. Dependable self-starter; can anticipate and take initiative.
• Great team player and collaborator; has a positive, can-do attitude and willingness to go the extra mile for partners and colleagues. Active participant in discussions.
• Sense of curiosity and desire to learn
• Represents the company in a professional and ethical manner at all times
• Can thrive in a small-company environment
How to Apply:
Send an email with resume to Rosemontteam@rosemontinv.com.

Apply Online

About Northern Trust: 

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.    

  Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families and institutions by remaining true to our enduring principles of service, expertise and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.    

Client Service Manager, Derivatives

Major Duties

1. Act as liaison between clients, internal partners and derivatives operations
2. Provides support for escalation of issues related to complex derivative products. This may include settlements, trade support, client valuations etc.
3. Research and analyze complex client inquiries. Handle difficult client situations professionally, offering support and provide resolution
4. Develop a thorough understanding of the each client support model, client strategy and future growth potential
5. Consistently operate to reduce operational risk and identify and escalate any potential risk situation
6. Facilitate continuous and improvements and pro-actively manage the change process. Fully evaluate implications of new requirements to existing processes to ensure process review smooth transitions ,and documenting the same
7. Maintain strong working relationship with internal support groups and provide input into strategic plans
8. May have direct interaction with committees and/or Senior Management
9. Delivers a work product that requires less revision 
10. Able to facilitate discussions and reach Collaborative conclusions/decisions

Apply Online

About Northern Trust:

Northern Trust, a Fortune 500 company, is a globally recognized, award -winning financial institution that has been in continuous operation since 1889.   Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families and institutions by remaining true to our enduring principles of service, expertise and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.   

Job Title: Sr. Consultant, Cash & Collateral Services, HFS

HFS Overview:

Northern trust hedge fund services offers world-class, scalable technology and dedicated expertise to serve hedge funds and large institutional investors with complex portfolios and product types. The business provides comprehensive middle office and administration services, including trade processing, asset servicing, valuation and profit and loss reporting, cash and collateral management, reconciliations, accounting and NAV calculations and investor servicing and reporting.

Position Overview:

The successful candidate is a mature self-starter with an entrepreneurial spirit and team focus and is able to function independently work in a fast-paced, dynamic and demanding environment. He/she adds value by working on a number of simultaneous tasks/projects with minimal supervision while paying strong attention to detail. A familiarity with Treasury functions and strong communication skills is extremely beneficial.

The key responsibilities of the role include:

•    Support Client SLA’s; which include Cash-flow processing, daily reconciliations of bank and custody account activity, margin reporting across prime broker accounts, and timely interaction with shared service teams.
•  Collate and document “application” feedback from internal / external users to help support work-flow changes where needed.  Present findings to management 
• Serve as a liaison to other shared service teams and ensure all daily processing from a Cash and FX perspective are completed daily
• Assist in further development of a scalable, controlled and transparent application across NT’s Treasury platform
• Effectively communicate with IT to test and implement system enhancements
• Help Identify potential Treasury service offerings that would complement our HFA offering.  Perform the appropriate analysis and present findings to the team and management.
• Accurately define business requirements for IT projects and enhancements as needed.

The successful candidate will benefit from having:

Qualifications (Desired)   

• An entrepreneurial spirit, someone who is willing to build something from the ground up.
• Experience working with system development testing/verifying accuracy of reports.
• Awareness of system work-flows; and related application dependencies
• Excellent communication skills; both written and verbal
• Experience with excel modeling; if/then statements, V-lookups etc.
• 3-5 years of experience; working within a Treasury related functions is a plus.

Working with Us:

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com. We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people. Apply today and talk to us about your flexible working requirements and together we can achieve greater.  

Apply Online

Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 employees – we call partners – we serve the world’s most sophisticated clients using leading technology and exceptional service. 

 Northern Trust – Digital Shared Services teams provide diverse set of capabilities to enable Northern Trust Application teams and Business Partners in the areas of Application Architecture, Development Accelerators, Shared Services API for common digital functions and Digital Collaboration

 As a Lead Engineer you are well versed in design, development, and management of modern API.  You stay on the top of current technology trends as a thought leader. You are a team player with a can do attitude. Furthermore:

• You have a College or University degree in Computer Science and/or relevant proven work experience
• You are proficient in Modern Application Architecture and Agile delivery in one or more of the following areas

1. REST API using Microservice Architecture (Java)
2. Event Driven Architectures using Messaging (Kafka or Solace)
3. EAI Patterns
4. Web application development using SPA architecture with JavaScript (Preferably React)
5. DevOps and building Pipelines

• You have experience in one of the following

1. API Management tools (Layer7 API Developer Portal, Azure APIM.)
2. DB Versioning tools (Liquibase, Flyway)

• You have experience in one of the following

1. Public Cloud(Azure)
2. Kubernetes or Pivotal Cloud Foundry

• You have strong understanding of nonfunctional requirements and SRE principles
• You have analytical/problem-solving skills, leadership/organizational skills along with ability to operate in dynamic environment.
• You have ability to develop strong relationships with stake holders and mentor team members

Our tech stack: Spring Boot Microservices / Java / ReactJS / Kafka / Solace / Oracle /  Liquibase / Layer7 API Developer Portal/ Kubernetes  / Pivotal Cloud Foundry / Azure

 WHAT YOU’LL DO

As a Lead Engineer on the Digital Shared Services team, you will be an integral part of one of our nimble and agile cross-functional teams innovating Software development by accelerating application delivery and developer experience. We cherish and nourish our diverse and inclusive culture and welcome you to help us further grow our expertise.

As a Lead Engineer, you will:

• Design and develop cloud native applications using Java, Spring Cloud and other frameworks running on Microsoft Azure
• Moving applications from Pivotal Cloud Foundry (Tanzu Application Service) to Azure
• Manage Layer7 API Developer Portal for API Management
• Build and support Development Accelerators that integrate Application development best practices and patterns by working closely with Northern Trust Developer community.
• Ensure that the applications delivered are aligned with Enterprise Architecture standards and patterns along with meeting non-functional requirements.
• Provide guidance and mentor Application developers in Digital Shared Services team and other teams.

WHY US

As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve. Our talented, driven and energetic people are truly changing the face of Northern Trust. The speed with which we work, the influence of each partner and the focus to positively change the client experience is our common passion.  People are our greatest wealth, so if you have a genuine desire to work in a fast-paced, Agile, inclusive environment which requires teamwork, well-honed problem-solving skills, deadline management, ongoing and comprehensive communication, constant attention to detail, and a commitment to continuous improvement then seek no more!