Current Openings

CLIENT SERVICES ASSOCIATE - FINANCIAL SERVICES

Dunham & Associates Investment Counsel, Inc. ("Dunham") is a thought leader in the financial services industry. The way we work is a direct reflection of our company culture; we believe in accountability, putting our clients first, and constantly striving for growth. Since 1985, Dunham has grown to become a multi-billion dollar firm. We work with close to 1,400 Financial Advisors across all 50 states. 

Dunham is an independently owned Registered Investment Adviser and Broker/Dealer. Member FINRA/SIPC, helping Financial Advisors and individual investors reach their long-term goals. The firm's focus is on providing disciplined wealth management solutions and related services. 

As a Client Services Associate, you will be responsible for managing new and existing accounts, including but not limited to, account opening, funding, and ongoing maintenance. This position is the point of contact for issue resolution and client inquiries and entails significant interaction with both clients and financial advisors via phone, email, and other electronic media. Extreme professionalism is required at all times. To excel in this position, the ideal candidate is enthusiastic, team-oriented, and possesses the ability to provide exceptional customer service.

This is an onsite position in San Diego.  We are unable to sponsor visas at this time.

ESSENTIAL JOB FUNCTIONS

• Execute mutual fund trade requests and portfolio rebalancing requests;
• Set up, review, and verify new accounts;                            
• Ascertain that policies and procedures for customer requests have been adhered to in accordance with all compliance requirements;
• Work across internal departments (Analysts, Sales, and Operations) to accomplish daily tasks, workflows, and ongoing projects;
• Serve as point of contact for issue resolution and client requests;
• Update financial advisors on progress and resolution of client issues/requests;
• Provide clients and financial advisors with account-related information;
• Support internal departments with campaigns and projects;
• Discuss investment advisory products and platforms with existing and prospective clients.      

REQUIREMENTS

• Bachelor’s degree, preferably in business or finance;
• Current FINRA Series 7 and 65/66 license or willingness to complete within designated timeframe;
• Minimum 2 years of experience working in a client service role, preferably in the financial services industry;
• Proficiency in Microsoft Office;
• Excellent organizational and interpersonal skills;
• Ability to contribute and thrive in a lively team-based setting.

INVESTMENT ANALYST

Dunham & Associates Investment Counsel, Inc. ("Dunham") is a thought leader in the financial services industry. The way we work is a direct reflection of our company culture; we believe in accountability, putting our clients first, and constantly striving for growth. Since 1985, Dunham has grown to become a multi-billion-dollar firm. We work with close to 1,400 Financial Advisors across all 50 states. 

Dunham is an independently owned Registered Investment Adviser and Broker/Dealer. Member FINRA/SIPC, helping Financial Advisors and individual investors reach their long-term goals. The firm's focus is on providing disciplined wealth management solutions and related services. 

Bring your drive and a great attitude to Dunham & Associates, and you will have the opportunity to grow with us professionally, personally, and financially. You will be part of a company that promotes from within, cares about your success, and rewards longevity. 

The Investment Analyst will contribute to several areas as they pertain to the operational oversight and implementation of investment management. In addition, he/she will prepare investment proposals, analyze existing and prospective clients’ investment portfolios, complete due diligence questionnaires, facilitate important aspects of mutual fund custody, and contribute to the collaborative efforts of the analyst team while reporting to the Chief Investment Officer.

We are unable to sponsor work visas at this time.  This is an in-office position opening in San Diego.

ESSENTIAL JOB FUNCTIONS:

• Gather and analyze data and prepare response materials;
• Complete standard and moderately complex due diligence questionnaires, prospective client proposals, and in-depth portfolio analyses;
• Participate in quarterly calls with Sub-Advisers and prepare periodic attribution analyses;
• Contribute to written and verbal commentary on specific and general market investment issues;
• Update and maintain investment fact sheets and marketing collateral;
• Create client-specific investment proposals and analyses;
• Complete essential fund documentation regarding custody relationships and ongoing operations of the funds;
• Fulfill due diligence requests and requests for proposals from third-party firms;
• Assist the analyst team with research requests and prepare analyst materials;
• Facilitate the administrative and operational functions of the trading desk;
• Conduct ad hoc research on competitors and provide summarized results;
• Place accommodation trades for client accounts.

REQUIREMENTS:

• Bachelor’s degree, preferably in Finance or a business-related area
• FINRA Securities Industry Essentials (SIE), Series 7 and 66 licenses strongly preferred;
• If not currently licensed, Securities Industry Essentials (SIE) Exam, Series 7, and Series 66 licenses must be obtained within an agreed upon period of time;
• Minimum of 3 years of investment experience (or related finance field);
• Advanced MS Excel spreadsheet capabilities;
• Excellent communication skills - oral & written, and ability to do presentations to diverse audiences;
• Strong organizational skills and ability to work on numerous tasks simultaneously;
• Must be able to work under intensive deadlines with frequent interruptions and complete highly detailed work on multiple, concurrent tasks;
• Must be able to interpret data, understand financial industry-specific information and documents, and use math and mathematical reasoning to solve non-routine and complex problems.

Dunham & Associates Investment Counsel, Inc. (DAIC) accepts applications for future career opportunities even though there may not be current openings. If you would like to be considered for future positions, please attach your resume and cover letter (optional, but helpful) and answer the few questions attached to this application. 

Thank you!

Human Resources