Current Openings

Thank for your interest in working with Dunham & Associates.



Apply for a specific Career Opening by clicking the Apply button at the bottom of each job posting or by sending your resume and a cover letter to resumes@dunham.com. When sending your resume, please include the position title in the subject line, and attach a copy of your resume in MS Word or PDF formats.

If your qualifications and stated interests are a good fit with a future open position, we will be sure to give you a call.



Hybrid Wholesaler - Financial Services

Chief Compliance Officer

Regional Associate - Financial Services

Client Services Associate - Financial Services

Internal Sales - Financial Services

Future Career Opportunities

Hybrid Wholesaler - Financial Services

Department Dunham & Associates
Career Type Full Time
Posted 4/21/2021

Description

Bring your drive and great attitude to Dunham & Associates Investment Counsel, and you will have the opportunity to grow with us professionally, personally, and financially as a Regional Director. Join us to differentiate yourself from all the other wholesalers in your region by offering fee structures, investments, services, and marketing programs few wholesalers have in their bag. 

We are seeking a seasoned wholesaler for the Dunham’s Midwest region, which includes Illinois, Indiana, Ohio, Michigan, Iowa, Minnesota, and Wisconsin. This professional should be willing to develop strong financial advisor relationships in the independent channel offering them innovative asset management investments, fee structures, trust services, and practice management tools.

Dunham & Associates Investment Counsel is an established 36 year-old firm, and Dunham Trust Company is a 22 year-old firm, and we provide our professional Regional Directors a base salary, commissions, and trail commissions on AUM in your region so your compensation can grow as assets grow. This is all in addition to travel and expense reimbursements, and full employee benefits.

ESSENTIAL JOB FUNCTIONS:

Using discretion, judgment, and the highest level of ethical standards, you will be responsible for driving sales of Dunham mutual funds, advisory fee platform, and Dunham Trust Company services throughout the Midwest region. You will play an instrumental role in building Dunham’s brand awareness and market dominance. Based in the San Diego office, you will need to provide your own internal sales support and be willing to travel to the Midwest one week each month to build and reinforce relationships with our Financial Advisors.

 These are the essential responsibilities:

  • Develop key relationships with Financial Advisors to create new business, provide sales and marketing information, and keep them up-to-date on our investments and services;
  • Schedule regular travel and appointments within the region, including dinners, seminars, and meetings to build and maintain crucial relationships;
  • Offer follow-up information, conduct timely thank you calls, prepare portfolio reviews and proposals, and provide marketing material required to complete sales;
  • Provide problem resolution in a professional and timely manner;
  • Build market dominance through the development of professional relationships with our broker/dealer firms;
  • Provide your own internal sales support to identify, qualify, and market all of the Dunham investments and services to Financial Advisors;
  • Conduct seminars, Zoom meetings, and other client events to assist in the marketing support to your financial advisors;
  • Maintain all communication and activities in our Salesforce database;
  • Remain up-to-date on all aspects of our industry, investments, and services in your marketplace

REQUIREMENTS:

  • Bachelor’s degree;
  • FINRA Series 6 or 7.
  • Series 65 or 66 licenses strongly preferred;
  • Ability to nimbly integrate technology with effective wholesaling efforts
  • Minimum of 5 years relevant experience (wholesaler experience preferred);
  • Ability to build and maintain exceptional relationships with Financial Advisors;
  • Proven communication and public speaking skills;
  • Strong interpersonal, organizational, sales, and sales/training skills;
  • Positive, team-oriented personality;
  • Proficient in MS Office;
  • Familiar with mutual fund and advisory fees sales, with a knowledge of trust services being a big plus;
  • Experience with SalesForce strongly preferred.

 

 

Chief Compliance Officer

Department Dunham & Associates
Career Type Full Time
Posted 4/19/2021

Description

Dunham & Associates Investment Counsel 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. 

The Chief Compliance Officer is primarily responsible for ensuring that all appropriate regulatory policies, procedures, and controls are established, maintained, and well-documented for a dually registered broker-dealer and investment adviser based in San Diego, California.

ESSENTIAL JOB FUNCTIONS:

  • Serve as Chief Compliance Officer for the firm’s proprietary mutual funds;
  • Responsible for Rules 38a-1 and 206(4)-7 annual reviews and FINRA Rule 3120 testing;
  • Responsible for the firm’s regulatory filings, including Form U-4, Form U-5, Form B/D, and Form ADV;
  • Responsible for oversight and implementation of relevant SEC and FINRA developments and industry best practices;
  • Manage and coordinate SEC and FINRA regulatory examinations, including written responses, and interact as needed with regulators on compliance issues;
  • Provide oversight on preparation of mutual fund board materials;
  • Provide legal advice and guidance to senior management on a wide range of issues, including but not limited to, mergers and acquisitions, corporate contracts, litigation and claims, corporate issues, business structures and models, tax, employment issues, risk management, and regulatory issues.
  • Provide guidance, advice, and/or training to improve the organization’s understanding of related laws and regulatory requirements;
  • Coordinate firm efforts related to audits, reviews, and examinations, and independently investigate and act on matters related to compliance;
  • Collaborate with C-Level peers to develop and execute strategic long-term plans, fiscal policies, growth strategies, product development, employee development, etc.
  • Monitor employee activity and electronic correspondence;
  • Supervise ongoing sub-advisor due diligence program which may include some travel and understanding of the sub-advisory agreements;
  • Serve as an industry thought leader as company grows and expands.

 

REQUIREMENTS:

  • J.D. degree or equivalent intensive regulatory experience (J.D. degree strongly preferred)
  • FINRA Series 7 and Series 24 licenses preferred but may be acquired after hire date;
  • Ten plus years of experience in similar role at broker dealer, investment advisory firm, or trust company with expertise in securities law, mutual funds, and SEC compliance;
  • Prior management, leadership, and/or supervisory experience;
  • Excellent strategic planning and innovation skills;
  • Excellent communication and presentation skills, in writing and in person;
  • Ability to take initiative, implement new ideas, and influence others to produce good decisions;
  • Excellent team skills with ability to develop and manage successful internal and external relationships;
  • Must be willing and able to occasionally travel, as needed.

 

Regional Associate - Financial Services

Department Dunham & Associates
Career Type Full Time
Posted 3/11/2021

Description

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 Broker/Dealer 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 Regional Associate, you will be responsible for working with our Regional Marketing Associates (internal wholesalers) and Regional Directors (external wholesalers) to learn the financial wholesaling business, pursue your FINRA Series 7 and Series 66 licenses, and maximize territorial sales. This is a great entry-level opportunity; working onsite in the San Diego office is a requirement.

ESSENTIAL JOB FUNCTIONS

  • Establish and maintain current and potential client and financial advisor relationships through proactive cold calls and webinars;
  • Schedule Regional Director’s appointments to ensure productive sales days;
  • Follow-up on new leads and referrals resulting from field activity;
  • Work with Regional Marketing Associates to prepare sales proposals and presentations;
  • Update and maintain SalesForce client information;
  • Handle incoming phone calls and requests for information, sales and marketing materials, and hypothetical illustrations;
  • Study for FINRA Series 7 and 66 exams (passing exams within a specified period of time is required for continued employment) and learn the financial wholesaling business;
  • Back-up other Regional Marketing Associates as needed before/after hours and when they are away from the office;
  • Other duties and responsibilities as assigned.
REQUIREMENTS
  • Bachelor’s degree in business, finance, or related degree
  • Evidence of academic excellence and a passion for learning
  • Computer proficiency in MS Office
  • Excellent verbal and written communication skills to educate and influence sales
  • Must be extremely motivated and willing to learn
  • Strong technical and analytical skills
  • Strong attention to detail with great organizational skills
  • Ability to prioritize multiple projects and responsibilities;
  • Ability to think and work independently as well as in a team environment
  • Self-starter with strong work ethic, enthusiasm, and ability to energize others
  • Ability to develop and manage successful internal and external relationships

 

 

 

Client Services Associate - Financial Services

Department Dunham & Associates
Career Type Full Time
Posted 3/10/2021

Description

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 Broker/Dealer 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 from opening to asset investment, and further maintenance of accounts as required. This position acts as the main “problem solver” for account problems and client inquiries, and it entails significant interface with both clients and financial advisors via phone and other electronic media. Extreme professionalism is required at all times. To perform this job successfully, the ideal candidate must have the drive to succeed, a positive attitude, and a love for providing excellent customer service.

ESSENTIAL JOB FUNCTIONS

Execute mutual fund trade requests and portfolio rebalancing requests with financial clients;

  • Discuss investment advisory products and platforms with existing and prospective clients;
  • Set up, review, and verify new accounts;                            
  • Filter account maintenance requests for the operations department for setup and input;
  • Work across various internal groups. i.e. Analysts, Sales, and Operations to accomplish daily tasks and ongoing projects;                                                            
  • Facilitate point of contact resolution of priority requests and customer problems;            
  • Provide clients and financial advisors with account information;                                               
  • Facilitate timely, accurate, and efficient mutual fund transactions;                                          
  • Work closely with financial advisors to keep them updated on progress and resolution of client issues/requests;    
  • Serve as quality control point to ascertain that all paperwork, policies, and procedures for customer requests have been adhered to in accordance with all compliance requirements;
  • Use online resources to capture and provide appropriate customer data;
  • Support other departments with campaigns and projects.          
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 environment, 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.

 

Internal Sales - Financial Services

Department Dunham & Associates
Career Type Full Time
Posted 12/28/2020

Description

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. Additionally, you will receive a base salary and be eligible for our generous commission program.

As an internal mutual fund wholesaler, you will be responsible for making daily sales phone calls to your territory with the goal of increasing sales through partnerships with external wholesalers. To perform this job successfully, the ideal candidate must have the drive to succeed, a positive attitude, and a love for achieving goals. 

This position has a clearly defined career path, and we will invest the time and resources to train you.

Responsibilities

Some of the duties of the internal wholesaler (Regional Marketing Associate) position include: 

  • Working with the external wholesaler for your region to develop and execute an appropriate business plan to maximize territorial sales;
  • Establishing and maintaining current and potential client and financial advisor relationships through proactive daily cold calls and occasional webinars;
  • Presenting and selling Dunham mutual funds, Dunham’s advisory fee program, and trust services to financial intermediaries;
  • Conducting sales presentations to existing and prospective  financial advisors to discuss our investments and services;
  • Scheduling Regional Director's appointments to ensure productive sales days;
  • Following-up on new leads and referrals resulting from field activity;
  • Preparing sales proposals and presentations;
  • Identifying and resolving client concerns;
  • Participating in marketing events such as trade shows, seminars and telemarketing events;
  • Updating and maintaining Client Information System;
  • Handling incoming phone calls and requests for information, sales and marketing material, and hypothetical illustrations;
  • Other duties and responsibilities as assigned;
  • Minimal travel may be required

Requirements

  • Bachelor’s degree
  • Current FINRA Series 6 or 7 and Series 65 or 66 license preferred. If you are not currently licensed you must pass the Series 6 or 7 and Series 65 or 66 license within three months of start date;
  • At least two years of financial/marketing sales experience;
  • Outbound sales cold call experience preferred;
  • Computer proficiency in MS Office;
  • Salesforce experience preferred;
  • Effective verbal and written communication skills to educate and influence sales;
  • Prior experience with financial advisor(s) a plus;
  • Must be self-motivated and willing to make the extra effort to work and train for a highly rewarding professional career;
  • Must behave ethically and properly at all times.
Future Career Opportunities

Department Dunham & Associates
Career Type Full Time
Posted 10/10/2018

Description

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