Job Description

About the Job

Do you have a passion for the financial markets?
Do you possess excellent communications and sales skills?
Do you thrive as a self-starter in challenging environment?
Do you desire a small company atmosphere with big company benefits?
Do you want/need a bridge to transition to a fee-based model?
Do you want to live, work, and play in Austin, Texas?

We are a small company in the business of providing investment advice. Actually, we are two small companies – one that is a money manager and investment research firm regulated by the SEC, and a second company that is an un-registered publisher of financial information (newsletters and websites) and non-personalized investment advice.

Today, our company consists of a small handful of talented and dedicated individuals. Soon, we will be adding one more highly qualified person to our close-knit team. If you are interested in becoming that person, then read on. Every single employee is key to our business, and therefore our screening, interviewing, and hiring process is tough.

Although considered a small boutique investment firm, we have achieved national prominence and an international audience. Our approach to the market is simple – the markets are not monolithic. Various segments of the market come into and fall out of favor over time. Whether those segments are economic sectors/industries, investment styles and asset classes, or geographic regions, an investor can gain an edge by overweighting those segments that are in favor and underweighting the segments that are out of favor.

Our primary requirement for this position is that you are passionate about your job – helping clients succeed by understanding their needs and determining a suitable investment program. Our secondary requirement is that you currently possess the appropriate credentials (Series 65 or 7 & 66, college degree, 3 years direct investment experience) to allow you to hit the ground running. Everything else we can probably teach you, but we are going to ask that you demonstrate your ability to satisfy our top two requirements before we even have our first telephone conversation.

If we had a third requirement, it would be marketing and copywriting skills for press releases, advertising copy, marketing brochures, sales letters, graphic-design, and website content. Even better would be the ability to determine what is needed in the marketing arena and then directing others to create and deliver the final product.

Our business is investment advice, but the manner in which we dispense that advice is extremely varied. We have multiple distribution channels/brands and each one requires a unique approach. We deliver our SEC regulated services via direct-to-the-investor separately managed accounts as well as through indirect institutional research and sub-advisor channels. Likewise, we produce and distribute our unregulated, non-personalized advice directly to end users through our newsletters and websites and indirectly as an editor/contributor/writer to outside publications.

Your job will be to attract new assets for our separate-account portfolio management services and to provide ongoing service to the clients you bring onboard. We are a fee-only firm that uses Fidelity and Ameritrade as custodians for the accounts of our clients. We take an active approach to the market and implement our investment strategies with ETFs whenever possible.

If you are not a team player, or you are more interested in your own well-being at the expense of those around you, then you need not apply. Since we are a small company, you will not have your own assistant to handle the mundane aspects of the job. Of course if you are extremely successful at this job, then we’ll get you that assistant. In the meantime, if you believe that occasional envelope stuffing sessions or answering phones are not important aspects in contributing in a small organization, then look elsewhere. If helping a colleague meet a deadline and "getting the job done, no matter what it takes" sound rewarding, then you may well qualify for a position with our firm.


Qualifications that are absolutely required:

- Passion and aptitude for the financial markets
- Excellent client communication and sales skills
- Series 65 (or 7 & 66)
- College degree
- Three years direct investment experience


Qualifications that will give you an edge:

- Copywriting and marketing skills
- CFP, CFA, MTA, or other investment professional designation


Qualifications that we take for granted:

- Computer and Internet literate with the ability to quickly master new software
- Competent with Word and Excel
- Must be able to thrive in a fast-paced, deadline-driven environment
- Energetic and enthusiastic in achieving business goals
- Team player while also having the ability to work alone
- Reliability and integrity


What we offer:

- Compensation based on performance with limited period non-recourse draw
- A Northwest Austin, Texas location
- Generous time-off allowance
- 401(k) with employer match
- Major Medical Plan
- Dental & Vision Plan
- Disability Insurance
- Other benefits


Other Factors:

Because we are a Registered Investment Advisor, the SEC will require you to:

- Sign and abide by our written code of ethics
- Disclose your current investment holdings
- Have your personal securities transactions approved and monitored


The Hiring Process:

We offer an opportunity to work with the financial markets in a setting that will challenge and empower you. The small company environment is not for everyone. If you are a slacker that does not like to put forth a full effort, then there will be no place for you to hide. On the other hand, if you utilize your talents to help the company succeed, it is noticed and you will reap the rewards. See if you are ready to join us in this exciting, fast-paced environment.

Please understand that the hiring process will include:

- Testing – personality and aptitude
- Reference Checks – many of them

If the above is going to offend you, please do not apply. I am going to work hard to select the person that is going to be very successful with our team for a long time and I am personally committed to doing the best I can on hiring the right person.

Please forward your resume, cover letter, and proof of credentials by e-mail.

Candidates interested in applying to this role should e-mail 2425Q9@brokeragejobs.com.