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Currently, Dowling & Yahnke has the following open positions:

Relationship Manager  

Chief Compliance Officer / Director of Operations  

Business & Human Resources Specialist  


Relationship Manager

Dowling & Yahnke, LLC (the Firm) is one of the largest independent wealth management firms in San Diego.  Founded in 1991, the Firm serves high net worth clients who value extremely personalized, fee-only, fiduciary-based investment management and wealth planning services.

We are seeking an extremely personable and motivated Relationship Manager to join our knowledgeable, credentialed, and experienced team.  Successful candidates will have the highest professional integrity, value absolute confidentiality, and exhibit excellent written, verbal, and interpersonal skills.  This position splits responsibilities between client servicing, portfolio management, business development, external networking and internal initiatives.  Candidates will participate in a variety of assessments as a part of the interview process.

Dowling & Yahnke, LLC 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.

Job Responsibilities

  • Serve as a client-facing Firm representative, responsible for ongoing client communications and support.

  • Understand and effectively communicate to prospects, clients, and centers of influence the Firm’s investment philosophy and value proposition.

  • Facilitate the introduction and conversion of potential clients to the Firm.

  • Direct the implementation of investment strategies developed by the Investment Committee.  

  • Serve on the Firm’s Management Committee.

  • Identify and execute projects additive to the Firm’s efficiency, knowledge base, and growth.  

  • Other duties and projects as assigned.

Requirements

  • BA/BS degree, with an MBA strongly preferred.

  • Five plus years of prior work in an investment, financial planning, accounting, or law firm or other organization, with strong client relationship experience.

  • Chartered Financial Analyst (CFA) and/or Certified Financial Planner (CFP®) designations preferred.

  • Demonstrable success in building and maintaining relationships with high net worth clients and/or sophisticated business decision makers.

  • Patient educator and problem solver.

  • Ability to organize and prioritize multiple tasks.

  • A strong understanding of the financial services industry and capital markets.

  • Excellence in Excel, Word and PowerPoint required.

  • Knowledge of Advent APX, Salesforce, Tamarac, MoneyGuide Pro a plus.

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

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


Chief Compliance Officer / Director of Operations

Dowling & Yahnke, LLC is one of the largest independent wealth management firms in San Diego. Founded in 1991, we serve high net worth clients who value extremely personalized, fee-only, fiduciary-based investment management and wealth planning services.

We are seeking a highly credentialed individual for its Chief Compliance Officer/Director of Operations position, reporting to Mark Muñoz, COO/CFO. The ideal candidate will have 5-10+ years of compliance and operations experience in the RIA industry. As an SEC Registered Investment Advisor, Dowling & Yahnke is subject to the provisions of the Investment Advisers Act of 1940 and numerous other regulations and securities laws. The CCO will oversee all aspects of the Firm’s compliance with these regulations. As Director of Operations, the position supervises a staff of 16, overseeing Client Service, Administration, and Business Systems Analysts.

Dowling & Yahnke, LLC offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan. All candidates are required to successfully complete a full background/credit check at the offer stage.

Compliance responsibilities include:

  • Manage and administer all policies and procedures associated with the Firm’s regulatory compliance program.

  • Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.

  • Monitor and test the Firm’s policies and procedures to determine the adequacy and effectiveness of the Firm’s compliance program. Report results to the COO and work with business units to implement improvements as required.

  • Train advisory personnel on regulatory compliance matters to enhance understanding and awareness throughout the organization.

  • Maintain systemic records of the Firm’s compliance program in the event of an outside audit and/or regulatory examination.

  • Interface with regulators, examiners, and outside legal counsel as matters pertain to job duties.

  • Maintain ongoing expertise in federal and state regulatory policies. Communicate pertinent industry matters to the COO.

  • Provide direction, education, and support to the Firm with respect to fiduciary and regulatory compliance activities.

  • Participates in various committee meetings

  • Review all marketing materials

Operations responsibilities include:

  • Contribute to the development of methods to improve processes, reduce risks and increase client satisfaction

  • Lead the day-to-day operations of the Firm to further its long-term strategic goals and manage key strategic business operations

  • Supervise staff, providing feedback for operational improvements and efficiencies

    • Direct reports include Office Supervisor, Client Service Supervisor, Compliance Assistant and two Business Systems Analysts

  • Manage staff performance reviews, staffing and discipline issues

  • Final proofing of client custodian paperwork and Investment Policies

  • Support Chief Operating Officer in various projects essential to daily business demands

  • Assist with the implementation of new software and integration into operations and administration

Firm Responsibilities include:

Attend Firm events (client and staff), industry meetings, and opportunities for networking to enhance the Firm’s reputation with clients, in the community, and the industry.

Qualifications and Requirements:

  • A Bachelor’s Degree from an accredited four-year college or university, along with 5-10+ years of regulatory compliance and operations experience in the Registered Investment Advisor industry required.

  • CFP and IACCP designations

  • 5+ years recent work experience at a Registered Investment Advisor (RIA) firm; experience with high-net-worth clients strongly preferred.

  • Managing multi-disciplinary teams of professionals

  • Strong knowledge and understanding of the Investment Advisers Act of 1940, ERISA, Dodd-Frank and other relevant regulations and laws.

  • Experience dealing with the U.S. Securities & Exchange Commission, having served as the Firm contact during an SEC audit

  • Self-motivated, confident, and able to garner the respect of others

  • Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff throughout the Firm.

  • Working knowledge of Microsoft Office Suite programs. Familiarity with Tamarac AdvisorView, Salesforce, and Schwab custodial platform highly preferred. Schwab/SCT or other compliance tracking system experience preferred.

  • Highly organized and attentive to detail

  • Excellent problem-solving skills.

  • Highest standards of personal and professional ethics and integrity.

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

Dowling & Yahnke, LLC is an Equal Opportunity employer. Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available. Relocation assistance may be provided, upon negotiation, for an ideal candidate.

Interested candidates should apply here


Business & Human Resources Specialist

Dowling & Yahnke, LLC (Firm) is one of the largest independent wealth management firms in San Diego. Founded in 1991, we serve high net worth clients who value extremely personalized, fee-only, fiduciary-based investment management services.

We are seeking an experienced Business & Human Resources Specialist to join our team. This position is responsible for implementing and maintaining the Firm’s financial and accounting policies, including financial reporting, payroll, audit/tax preparation, assessment of liability coverage strategies, and budgeting and forecasting for accurate financial management. In addition, the Business & Human Resources Specialist is responsible for administering the day-to-day human resources function within the Firm, including recruiting support, new hire on-boarding and training, and employee benefits education and administration. While reporting to the Chief Operating Officer/Chief Financial Officer, the Business & Human Resources Specialist will also collaborate directly with others in the Firm’s leadership. This requires strong quantitative and interpersonal communication skills, both written and verbal.

Dowling & Yahnke offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan. All candidates are required to successfully complete a full background/credit check at the offer stage.

Job Responsibilities:

  • Oversee and process all monthly and quarterly accounting transactions: accounts payable, accounts receivable, general ledger posting, credit card reconciliation, petty cash, and bank and brokerage account deposits and reconciliation.

  • Administer the automated expense reporting and travel system (currently Concur). Review and monitor accuracy of information downloaded into the Firm’s accounting system. Approve disbursements. Educate and train new users; serve as primary vendor liaison.

  • Manage the payroll function. Process all regular, incentive and bonus payrolls through payroll system (currently Paylocity). Implement employee retirement plan and benefit payroll changes. Ensure compliance with federal and state wage and hour laws. Act as the primary liaison with the vendor, including analyzing additional functionality. Educate employees regarding the platform’s functionality.

  • Manage and maintain fixed assets inventory and reporting. Work closely with the IT department to maintain accurate inventory records for annual tax reporting.

  • Produce accurate and timely monthly, quarterly, year-end close and associated financial reporting, including filing of estimated tax payments and annual filings for federal and state. Work closely with external accounting firm, as required, to produce various annual reports (W-2, 1099, 5500, etc.).

  • Responsible for the successful completion of the Firm’s annual workers’ compensation audit.

  • Assess Firm’s business liability coverage strategies on ongoing basis, particularly with regard to changing technology environment. Conduct annual review and make recommendation of various insurance policies, including Errors and Omissions, EPLI, general commercial, workers compensation, ERISA, and cybercrime insurance. Work closely with the Firm’s brokers and other industry experts.

  • Monitor vendor agreements for renewal, optimal terms, NDAs, compliance requirements, etc.

  • Lead efforts to maintain the high integrity of the financial reporting and general ledger structure of the Firm. Establish internal controls to further protect the organization's value by keeping information secure and confidential.

  • Direct the Firm’s industry survey participation. Coordinate collection of data and complete all financial/HR related sections. Coordinate timely executive management review, submission, and documentation.

  • Analyze financial data and provide metrics for business intelligence reporting, as directed by the CFO.

  • Oversee the employee benefits program, including medical, dental, vision, life/AD&D/LTD insurance, and retirement plan. Educate new employees and serve as onsite expert to employees inquiring about coverage issues, dependent changes, etc. Administer employee enrollment changes.

  • Manage open enrollment process, implementing rate changes and processing employee plan changes, including Premium Only Plan (POP) payroll set-up and maintenance. Serve as primary contact and administrator for all benefits vendors.

  • Manage the Firm’s retirement plan through third party administrator (currently BlueStar). Serve as primary contact, train new employees on the platform, respond to administrator and employee inquiries, and assist with terminations. Review quarterly and annual reporting completed by BlueStar.

  • Coordinate onsite recruiting activities, in collaboration with HR consultant, to include job postings, interviews, assessments, communication with candidates on behalf of the Firm, conducting phone interviews, and onboarding.

  • Analyze, recommend, and implement changes leading to best practices pertaining to the Firm’s operations to include keeping up with accounting and human resources industry trends, evaluating and recommending new technology platforms, standardizing and streamlining procedures, and implementing workflows for internal consistency.

  • Respond to inquiries regarding financial or human resources reporting requests, special projects, workflow process improvements, and other responsibilities as assigned.

Qualifications and Requirements:

  • BA/BS in Business or Accounting preferred.

  • Five or more years of recent work experience as a controller / bookkeeper required; experience working in a professional services firm is preferred.

  • Three or more years of experience in human resources generalist role, including benefits and retirement plan administration, recruiting, on and off-boarding, and training. PHR certification preferred.

  • Five or more years of experience in working capital management, payroll processing, developing budgets, and tracking budget to actual.

  • High attention to detail.

  • Strong interpersonal skills along with verbal and written communication skills.

  • Ability to multi-task, work under pressure and meet deadlines required.

  • Advanced MS Excel knowledge and expertise required; proficiency in all MS Office applications.

  • QuickBooks proficiency strongly preferred.

  • Salesforce experience a plus.

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

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