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.



Client Services Associate - Financial Services

Regional Associate - Financial Services

Regional Account Manager - Hybrid Wholesaler

Chief Operating Officer

Developer

RMA - Mutual Fund Wholesaler

Future Career Opportunities

Client Services Associate - Financial Services

Department Dunham & Associates
Career Type Full Time
Posted 10/29/2021

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, 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.

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.

 

Regional Associate - Financial Services

Department Dunham & Associates
Career Type Full Time
Posted 10/27/2021

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

 

 

 

Regional Account Manager - Hybrid Wholesaler

Department Dunham & Associates
Career Type Full Time
Posted 10/27/2021

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. This is an onsite position 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 Operating Officer

Department Dunham & Associates
Career Type Full Time
Posted 10/25/2021

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.

Job Summary: 

The Chief Operating Officer is responsible and accountable for overseeing all aspects of the day-to-day operations of the company and certain affiliates.  Includes cross-functional team building and people development, strategic planning and execution, risk management and compliance. Participates as a C-Level executive management team member.

Essential Functions: 

  • Collaborates with C-Level peers to develop and execute strategic long-term plans, fiscal policies, growth strategies, product development, employee development, etc.;
  • Meets monthly with C-level and Department Heads to create a collaborative and forward-moving professional environment;
  • Serves as Secretary and AML Compliance Officer for the Dunham Funds trust (primary interface with transfer agent, assists in required reporting, participates in board meetings, approves any exceptions, etc.);
  • Reviews all fee-sharing arrangements with outside firms to determine if reasonable, whether falls into fund expense or firm expense and what the allocation is. Reviews and approves monthly;
  • Oversees Director of Operations including back-office operations, SOC-1 audit, disbursements, reporting, fee calculations and payments, tax reporting, statements and data reconciliation for all advisory and trust accounts;
  • Oversees Director of Information Technology including areas such as cybersecurity, network capabilities, software development, desktop support, website and API integrations;
  • Oversees Director of Research including areas such as mutual fund oversight, hiring and firing of sub-advisers, case analysis & proposals;
  • Oversees Client Services Manager including areas such as high touch client and financial advisor communications, new and ongoing account oversight (account opening, transfers, trading, AML review) and overall client, firm, financial advisor support;
  • Oversees Private Client Group Manager including areas such as high touch support for CEO’s HNW book of business, new account opening, client retention, annual reviews, complex trading, overall family office responsibilities for complex relationships and trusts;
  • Works with the five direct report group leaders to develop, plan, and execute strategic goals and objectives, including developing and managing the comprehensive budget for those areas;
  • Oversees the STAMP (medallion signature guarantee) program and training;
  • Identifies pain points (both internally and externally) and moves levers to create operational enhancements that generate major impact on overall profitability and efficiency;
  • Vendor management oversight including contract negotiations and due diligence;
  • Daily review/reconciliation of all trades to match with the correct Financial Advisor. This is for the purpose of wholesaler compensation, sales reporting, rep dashboard, portal, and VIC fees. Responsible for researching and reviewing any questions.
  • Manages all regulatory mailings for company and entities; includes working with print vendor, facilitating communication strategy and audience, coordinates with external vendors and maintains website;  
  • Formulates/enhances objectives, policies and procedures for operations, analysts, IT, client services, private client group and trust as required;
  • Performs acquisition due diligence, analysis and operations oversight (have completed Kelmoore, Sherwood, ATC, Provident, CB&T, GSN, PEA);
  • Performs the functions, duties, and responsibilities of the compliance principal (Series 24) for group, reviewing and approving all new accounts, oversight of communications and risk assessment/analysis;
  • Annual speaker at Dunham Institute for the Dunham Advisory Board. Listens to the needs of the members and puts their requests into action.  
  • Member of Trust Operations & Execution Committee which analyzes fiduciary risk prior to accepting trustee role for DTC;
  • Member of Investment Committee which analyzes Dunham Funds and Sub-Advisers and determines firm asset allocation models;
  • Participates in the onboard training of new professionals from other departments who are joining the firm;
  • Oversee new fund and/or production creation and implementation'
  • Backup Chief Financial Officer, Chief Compliance Officer, and Director of Operations as needed.

Education and Licensing Required:

  • Bachelor’s Degree in Finance or Economics, or similar experience;
  • Graduate Degree preferred
  • FINRA Series 7, Series 63, Series 65 or 66, and Series 24 and 99 licenses

Experience Required:

  • Ten plus years of experience in similar role at broker dealer, investment advisory firm, trust company or similar;
  • Extensive prior management, leadership and supervisory experience;
  • Excellent strategic planning and innovation skills with a willingness to be part of the Company’s C-Level leadership team, helping to steer the firm into the future in a highly competitive industry;
  • Strong technical and analytical skills;
  • Excellent communication and presentation skills, in writing and in person;

Special Skills Required:

  • Unique ability to utilize creativity and fortitude to establish efficiently run organizations;
  • Strong business acumen with excellent problem-solving, cognitive thinking and analytical skills;
  • Strong computer skills with particular emphasis in Excel and other MS Office products;
  • Salesforce Administration ability;
  • Orion Advisor Tech Administration skills;
  • Ability to prioritize multiple projects and responsibilities and work under pressure with multiple deadlines;
  • Highly ethical;
  • Strong attention to detail and organizational skills;
  • Ability to prioritize multiple projects and responsibilities;
  • Strong problem-solving and critical thinking skills;
  • 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 take initiative, implement new ideas and influence others to produce better decisions;
  • Ability to develop and manage successful internal and external relationships.
  • Willingness to roll up your sleeves and help at any level.

 

 

 

Developer

Department Dunham & Associates
Career Type Full Time
Posted 10/19/2021

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. 

The Developer is responsible for ongoing website and application development, maintenance, database development, and implementation for Dunham applications, including all corporate and customer-facing websites, custom applications, and automated data-movement processes. This is an onsite position in our San Diego office, and we are unfortunately unable to sponsor a visa for this position.

Essential Functions:

  • Define requirements, develop, and maintain the various Dunham corporate websites with primary focus on Dunham's public website and the Dunham intranet site;
  • Define requirements, create, implement, and maintain the database architecture necessary to support the various Dunham applications;
  • Define requirements, develop, implement, and maintain automated processes, specifically those that enable the flow of data between applications or to/from external sources;
  • Define requirements, implement, and maintain customizations to third-party applications such as the corporate customer relationships management system;
  • Assist employees with the support of the corporate IT infrastructure, as requested.

Requirements:

  • Bachelor's degree with a major in computer science, information systems, or engineering;
  • Minimum of 3-5 years of programming experience in ASP.NET MVC, C#, HTML5, CSS, Javascript, W3C compliance standards;
  • Web API integration experience and understanding;
  • Experience with IIS, Team Foundation Server (TFS);
  • Experience with SQL Server 2012+ writing SQL scripts, stored procedures, table functions;
  • Experience with Adobe Creative Suite;
  • Thorough understanding of software development techniques, including software development lifecycle;
  • Demonstrated ability to model real world processes and requirements into usable applications;
  • Proven excellent ability in interpersonal, verbal, and written communication skills with all levels of the organization;
  • Demonstrated ability to work effectively in a diverse work group;
  • Ability to multi-task and prioritize projects in a fast-paced environment;
  • Excellent trouble-shooting and problem-solving skills.

Preferred Experience:

  • Experience with creating DTS packages, SSIS, including familiarity with the SQL Server Client Tools;
  • Knowledge of cybersecurity best practices;
  • Knowledge of Salesforce development;
  • Financial services industry experience.

 

RMA - Mutual Fund Wholesaler

Department Dunham & Associates
Career Type Full Time
Posted 10/4/2021

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 be eligible for a base salary and our generous commission program.

As an internal wholesaler, you will be responsible for working with the external wholesaler for your territory with the goal of increasing sales through partnerships with financial advisors. To perform this job successfully, the ideal candidate must have the drive to succeed, a positive attitude, and a love for achieving goals. This is an onsite position in the San Diego office.

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 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 3-6 months of start date;
  • At least two years of financial/marketing sales experience;
  • Outbound sales cold call experience;
  • 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;
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