Current Openings

COMPLIANCE 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. 

Job Summary: The Compliance Analyst assists the Chief Compliance Officer in the oversight of the firm’s compliance efforts and with the development, implementation and maintenance of compliance policies, procedures and records. With primary responsible for certain day-to-day compliance activities of the firm and its affiliates, the Compliance Analyst ensures adherence with all applicable compliance requirements as well as internal corporate polices. The Compliance Analyst also provides excellent administrative support to the Chief Compliance Officer (CCO) and collaborates to ensure Company adherence to all compliance requirements.

This is not a remote or hybrid opportunity, the position requires San Diego local residency and in-office work.  We are not able to sponsor visas at this time.

Essential Duties and Responsibilities:

• Conduct timely electronic communications review;
• Review Advertising materials in compliance with regulatory requirements;
• Process individual registrations and terminations via WebCRD;
• Conduct employee compliance onboarding;
• Facilitate fingerprinting of new employees and monitor FBI status on WebCRD;
• Maintain and review quarterly Market Timing Reports;
• Maintain and conduct Trade Blotter Review;
• Maintain FINCEN/OFAC reports;
• Reconcile employee outside brokerage accounts to ensure adherence to Code of Ethics;
• Conduct quarterly Code of Ethics review;
• Assist with the preparation of materials for annual and other compliance meetings;
• Complete and maintain the complaint log;
• Complete annual firm continuing education needs analysis;
• Update and maintain firm element continuing education plan document;
• Assist with updates to the Written Supervisory Procedures;
• Distribute various policies and collect signed acknowledgements from staff;
• Organize and schedule appointments and meetings;
• Maintain Sub-adviser contact lists;
• Ensure all employee licenses are current with FINRA and the states;
• Organize annual independent AML Audits with CCO;
• Prepare monthly Net Assets Report for the Mutual Fund Board;
• Collect and organize quarterly Mutual Fund Board Meeting reports from sub-advisers;
• Arrange quarterly Mutual Fund conference calls with sub-advisers;
• Maintain DocuSign Reports weekly;
• Coordinate signatures for quarterly Best Execution reports for the Mutual Funds;
• Draft correspondence as needed;
• LexisNexis user reports quarterly;
• Maintain employee regulatory files;
• Order training materials for new and existing employees that require licensure;
• User Administrator for DocuSign, LexisNexis, Orion Inform portal and RegEd portal;
• Assist Operations with address change review;
• Assist with information gathering for FINRA and SEC audits;
• Assist with information gathering for customer complaints/legal matters;
• Assist with other projects as needed.

Education Required:

• BA/BS degree or related experience required.
• FINRA SIE (SIE is pre-requisite for Series 7), Series 7, Series 24, Series 66.
• Ability to pass other FINRA principal examinations as required.

Experience Required:

• 3-5 years proven investment adviser, broker-dealer compliance experience
• Microsfot Office Word / Excel / PowerPoint
• Excellent working knowledge of financial services industry and FINRA and SEC regulations applicable to investment advisers, broker-dealers.
• Knowledge of compliance requirements applicable to broker-dealers and registered investment advisers preferred.

Competencies:

• Strong organizational skills and analytical and problem solving skills;
• Strong written and verbal communication skills;
• Strong detail orientation;
• Demonstrates initiative;
• Self-motivated;
• Works independently with minimal supervision;
• Functions well as a member of a small team;
• Comfortable working in a time critical environment.
• Knowledge of FINRA CRD system;
• Ability to prioritize multiple projects and responsibilities;
• Tactful with ability to maintain confidentiality;
• Able to work under deadlines with frequent interruptions and complete detailed work on multiple concurrent tasks.

Salary commensurate with experience to include education and FINRA licenses:

$75,000 annually to $120,000 annually

RECEPTIONIST / ADMINISTRATIVE ASSISTANT - FINANCIAL SERVICES

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 our full-time Receptionist, you will assist with the daily processes and procedures of the Administration department, including answering and routing phone calls while welcoming and greeting Company clients and visitors in a professional manner. You will also handle various short-term projects as needed. This is an onsite position.

Essential Functions:

• Answer multiple phone lines, screen calls, and transfer as necessary;
• Meet and welcome Company clients and visitors, answer questions, and direct them to the appropriate Dunham resource;
• Sort mail for distribution and route faxes to designated individual or department;
• Update Salesforce database with changes and/or new additions;
• Print, fold, and stuff various form letters and other client-related correspondence;
• Reconcile and match “house copy” trade confirmations with daily work received from Operations via Laserfiche, as needed;
• Reconcile expense reports for sales and marketing staff;
• Order office supplies as needed;
• Coordinate food orders for breakfast and/or lunch meetings;
• Prepare paperwork for Fed Ex, UPS, and other shipments;
• Ensure that records destruction certificate is current and up-to-date.
• Other duties as assigned.

Education Required:

High school graduation; Associates degree preferred

Requirements:

• Must be available full-time from 8:00 am to 5:00 pm (1 hour lunch break);
• 2-5 years of front office and administrative experience;
• Proficiency in MS Office, including Word, Outlook, Excel and PowerPoint;
• Experience working with Mitel multi-line phone system is preferred;
• Experience in the finance industry is a plus;
• Experience with Laserfiche and Salesforce a plus;

Special Skills Required:

• Reliability and punctuality are essential;
• Strong interpersonal skills with professional, friendly manner;
• Excellent verbal and written communication skills;
• Exceptional attention to detail;
• Excellent organizational and prioritization skills;
• Ability to work as part of a team;

Salary commensurate with experience:

$17.00 per hour / $35,360 annually to $25.00 / $52,000 annually

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.
• Perform other job-related duties as assigned.

REQUIREMENTS

• Bachelor’s degree, preferably in business or finance;
• Current FINRA SIE, 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

Salary commensurate with experience to include education and licensing:

$28.85 per hour / $60,000 annually to $40.87 / $85,000 annually

IT SYSTEMS ADMINISTRATOR

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, 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. 

As a Systems Administrator, you will be responsible for ensuring that all Dunham information systems are properly working – from end-user setup and troubleshooting to data center administration and support. This is not a remote or hybrid opportunity, the position requires San Diego local residency and in-office work. We are not able to sponsor visas at this time.

Essential Functions:

• Configure, implement, monitor, and maintain telecom, network, PC’s, network servers, and business applications.
• Provide help desk support including personal, telephone, and email technical support for four site locations and remote workers.
• Improve existing and/or implement new processes.
• Script programming to automate support and/or server processes.
• Serve as in-house expert on multimedia, streaming media, image development, graphics, and audio.
• Perform other job-related duties as assigned.

Requirements:

• Firm background in information technology, which should include computer, storage and server hardware, business applications, networks, and telecommunications.
• Knowledge of LAN, WAN, Internet, data and voice communications technology, and infrastructure.
• Knowledge of Microsoft server software including SQL Server, Active Directory, and Exchange Server.
• Understanding of data center hardware and techniques, including virtual servers, SAN’s, and backup.
• Must have a thorough knowledge of PC hardware and standard office applications.
• Excellent interpersonal, verbal, and written communications skills.
• Strong customer service orientation and the ability to work well within a team.
• Excellent time management and multi-tasking skills.
• Effective at taking tasks to completion.
• Must be able to work under intensive deadlines with frequent interruptions and complete highly detailed work on multiple, concurrent tasks.
• Must be available from time-to-time for after hours or weekend work.

Preferred Experience:

• Bachelor’s degree with computer science or information systems major is preferred
• Vendor or IT certifications preferred
• Knowledge of SQL preferred
• Knowledge of VoIP preferred
• Knowledge of O365 preferred
• Knowledge of PowerShell preferred
• Knowledge of Salesforce preferred
• Financial Services industry experience preferred

Salary commensurate with experience to include education and certifications:

$33.66 per hour / $70,000 annually to $48.08 / $100,000 annually

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