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Director of Counseling

Clifford Swan Investment Counselors
Pasadena, California

Firm Overview

Clifford Swan Investment Counselors is an independent, 100% employee-owned registered investment adviser serving high net worth individuals, families, and not-for-profit organizations. With over $4 billion in assets under management and approximately 950 high-net-worth and institutional clients, Clifford Swan is committed to providing objective investment management based on rigorous investment research and financial advice with personalized, responsive client service. Our longstanding success as a firm is rooted in our values, which prioritize putting our clients first and adhering to the highest ethical standards.

Position Overview

The Director of Counseling will lead and support a collaborative team of experienced investment professionals and client service specialists to deliver wealth management services to Clifford Swan clients. The Director of Counseling will implement firm strategy as developed by the Senior Management team and approved by the Board.  This position is management-focused and is also responsible for generating new client relationships as well as supporting existing clients. While day-to-day portfolio management will be supported by a dedicated team, Portfolio Strategy is a key responsibility for this position.

Job Responsibilities

  • Develop a deep understanding of CSIC firm philosophies
  • Manage Investment Counseling team
  • Partner with an internal team of professionals to provide Investment Counselors and clients/prospects with ongoing education on wealth planning strategies
  • Collaborate with current Investment Counselors and Senior Management to expand and develop the firm’s Financial Planning service offering
  • Act as a partner to Investment Counselors to help identify prospective clients and position firm offerings
  • Participate in community outreach, networking and marketing activities to drive new business opportunities
  • Present at internal and client/prospect events

Qualifications

  • 10+ years of experience in investment management and/or financial advisory services with demonstrated leadership and management skills
  • Certified Financial Planner (CFP) designation strongly preferred
  • Bachelor’s degree required
  • Experience in business development and relationship management
  • Ability to articulate investment products’ features and benefits and speak knowledgeably about philosophy, process, portfolio holdings and the rationale behind portfolio construction
  • Proven track record of working with high- and ultra-high-net-worth individuals and families
  • Ability to work successfully in an entrepreneurial, small-company environment
  • Proficiency in Microsoft Office; experience with software (financial planning, CRM, portfolio management and document management)
  • Candidates must be eligible to work in the United States without sponsorship or restrictions

Expected base salary for the role will generally be $200,000 – 250,000 per annum at the commencement of employment with a target annual bonus of 45% of base salary. However, base salary will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include other forms of compensation such as, discretionary bonuses, incentive packages, and firm-sponsored benefit programs.

All applications must include a resume and cover letter. Please send this information to Gretchen Lee via email at GLee@cliffordswan.com.

Posted August 2024