We are not your typical financial advisor and we are not looking for the typical candidate. We are a team of authentic, humble, passionate, reliable, dedicated, and compassionate individuals. Our goal is to find and reward great people that support our collaborative work environment. Our passion for providing industry-leading service to our clients is what drives us. We are looking for team members that can make us even better!

For almost three decades, Dowling & Yahnke has been part of a revolution in wealth management that has now spread throughout the industry — independent, transparent, and world-class financial advice driven by personal relationships and free of competing incentives.

We started our firm for a simple reason — it was the right thing to do. While others have copied our model, we continue to lead the way through a commitment to continuous education, a time-tested and academically supported investment philosophy, and unwavering dedication of excellence to our clients.

For these reasons, Dowling & Yahnke is one of the largest independent, fee-only wealth advisory firms in San Diego, managing approximately $4 billion for more than 1,000 clients. We serve high-net-worth clients by offering objective financial planning advice and investment management services.

 

Currently, Dowling & Yahnke has the following open positions:

Chief Compliance Officer

Director of Financial Planning

Executive Assistant 


Chief Compliance Officer

We are seeking a highly credentialed individual for its Chief Compliance Officer position, reporting to Mark Muñoz, COO/CFO. The ideal candidate will have 5-10+ years of compliance experience in the RIA industry. As an SEC Registered Investment Advisor, Dowling & Yahnke is subject to the provisions of the Investment Advisers Act of 1940 and numerous other regulations and securities laws. The CCO will oversee all aspects of the Firm’s compliance with these regulations. 

Job Responsibilities:

Compliance responsibilities include:

  • Manage and administer all policies and procedures associated with the Firm’s regulatory compliance program.

  • Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.

  • Monitor and test the Firm’s policies and procedures to determine the adequacy and effectiveness of the Firm’s compliance program. Report results to the COO and work with business units to implement improvements as required.

  • Train advisory personnel on regulatory compliance matters to enhance understanding and awareness throughout the organization.

  • Maintain systemic records of the Firm’s compliance program in the event of an outside audit and/or regulatory examination.

  • Interface with regulators, examiners, and outside legal counsel as matters pertain to job duties.

  • Maintain ongoing expertise in federal and state regulatory policies. Communicate pertinent industry matters to the COO.

  • Provide direction, education, and support to the Firm with respect to fiduciary and regulatory compliance activities.

  • Participates in various committee meetings

  • Review all marketing materials

  • Final proofing of client custodian paperwork and Investment Policies

  • Support Chief Operating Officer in various projects essential to daily business demands

Firm Responsibilities include:

Attend Firm events (client and staff), industry meetings, and opportunities for networking to enhance the Firm’s reputation with clients, in the community, and the industry.

Qualifications and Requirements:

  • A Bachelor’s Degree from an accredited four-year college or university, along with 5-10+ years of regulatory compliance and operations experience in the Registered Investment Advisor industry required.

  • CFP and IACCP designations

  • 5+ years recent work experience at a Registered Investment Advisor (RIA) firm; experience with high-net-worth clients strongly preferred.

  • Strong knowledge and understanding of the Investment Advisers Act of 1940, ERISA, Dodd-Frank and other relevant regulations and laws.

  • Experience dealing with the U.S. Securities & Exchange Commission, having served as the Firm contact during an SEC audit

  • Working knowledge of Microsoft Office Suite programs. Familiarity with Tamarac AdvisorView, Salesforce, and Schwab custodial platform highly preferred. Schwab/SCT or other compliance tracking system experience preferred.

  • Highest standards of personal and professional ethics and integrity.

  • Professional, personable, tactful, efficient, and self-motivated.

  • Strong interpersonal skills and sense of teamwork valued.

  • Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required.

  • Entrepreneurial-minded approach to business; small/midsize company experience preferred.

  • Strong written and verbal communications skills.

This position is exempt and is paid according to the laws of the State of California.

Dowling & Yahnke offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan.  The chosen candidate will be required to successfully complete a full background/credit check at the offer stage.

Dowling & Yahnke, LLC is an Equal Opportunity employer.  No relocation assistance is offered for this position; candidates not residing in San Diego County, CA will be responsible for relocation at their own expense.  Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available.

Interested candidates should apply here


Director of Financial Planning

We are seeking a highly motivated, detail oriented, and experienced Director of Financial Planning to join our team, reporting to Will Beamer.  The ideal candidate will have over eight years of financial planning and management experience in the wealth management industry and will work closely with our advisors in a team-based setting.  The Director of Financial Planning is expected to make a direct impact to the business and Firm’s growth initiative by providing thought leadership within the Firm, overseeing the planning department and process of delivering customized personal financial solutions for new and existing clients, and driving business development through community and industry involvement.   

Job Responsibilities:

  • Lead the Planning Department to further the Firm’s long-term strategic goals and progress toward key planning and client experience initiatives.

  • Own and drive the financial planning process which includes designing, analyzing, and presenting customized plans tailored to each client’s facts and circumstances.

  • Manage a team of Financial Planners and Paraplanners; mentor, train, monitor and manage the financial planning workload and communicate with the entire advisory team. Provide feedback for improvements and efficiencies to the planning deliverable and advance professional development of team members. Provide second level support for difficult or complex plans.

  • Coach and counsel advisors and planners on financial planning strategies via formal training and on a case-by-case basis to serve client needs.

  • Identify issues and planning opportunities for review and discussion with clients and clients’ advisors.  Areas of emphasis to include financial goals analysis, estate planning, education planning, charitable giving, tax issues, insurance planning needs, Social Security, and executive compensation. 

  • Deliver plans to clients and their advisors in a clear and understandable manner.   Responsibilities will include meeting preparation, financial plan construction, direct client contact, meeting follow-up and client service.

  • Serve as a subject matter expert, staying current on planning issues, communicating updates to staff, and contributing content to the Firm’s website and third-party publications.

  • Drive business development through community exposure and professional networks.

Qualifications and Requirements:

  • CERTIFIED FINANCIAL PLANNERTM (CFP®) designation required.

  • Over eight years of financial planning experience and five years of management experience in overseeing a team of professionals.

  • Bachelor’s degree (MBA strongly preferred).

  • Certified Private Wealth Advisor (CPWA) a plus.

  • Proficient in Microsoft Office suite (Word, Excel, PowerPoint).

  • Solid understanding of personal tax issues. CPA a plus.

  • Proficiency with financial planning, Social Security analysis, and tax projection software; MoneyGuide Pro, eMoney, Tamarac Reporting, and BNA Income Tax Planner / CFS Tax Tools expertise a plus.

  • History of community involvement and a broad professional network.

  • Professional, personable, tactful, efficient, and self-motivated.

  • Strong interpersonal skills and sense of teamwork valued.

  • Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required.

  • Entrepreneurial-minded approach to business; small/midsize company experience preferred.

  • Strong written and verbal communications skills.

This position is exempt and is paid according to the laws of the State of California.

Dowling & Yahnke offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan.  The chosen candidate will be required to successfully complete a full background/credit check at the offer stage.

Dowling & Yahnke, LLC is an Equal Opportunity employer.  No relocation assistance is offered for this position; candidates not residing in San Diego County, CA will be responsible for relocation at their own expense.  Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available.

Interested candidates should apply here


Executive Assistant

We are seeking a highly motivated, detail oriented, and experienced Executive Assistant to join our team, reporting to Will Beamer, President, CIO and Principal. The ideal candidate will be friendly, personable and professional. The Executive Assistant is expected to make a direct and critical impact to the business by providing professional support.

Job Responsibilities:

  • Primarily supports senior Principal in executive assistant role, including scheduling, confirming appointments, maintaining calendars and contacts; coordinating projects and meetings or conference logistics, personal assistance activities; provides limited support to other partners.

  • Event planning, including meetings and employee seasonal event support.

  • Facilitate phone and e-mail communications; route client work to appropriate personnel; follow up on outstanding client actions; manage future needed items for clients.

  • Prepare and handle highly confidential and privileged documents and reports such as: letters, expense reports, check requests, and other documents; scan, copy, fax, e-mail, file.

  • Coordinate and handle travel arrangements and itineraries.

  • Backup for front desk and other administrative staff, regular project work, and additional duties as assigned.

Qualifications and Requirements:

  • Five+ years equivalent work-related experience, providing executive administrative support to top management.

  • Financial services experience highly preferred.

  • Highly proficient with MS-Word, Outlook, Excel, PowerPoint, and computer literate.

  • Exceptional phone, communication, and interpersonal skills.

  • Superior English language skills, including grammar, spelling, reading, writing and speaking. Business writing experience is essential.

  • High school diploma required; college degree highly preferred.

  • Professional, personable, tactful, efficient, and self-motivated.

  • Possesses the ability to proactively anticipate needs and opportunities, takes action when appropriate.

  • Strong interpersonal skills and sense of teamwork valued. Enjoys working with people and building relationships with coworkers, clients, prospective clients, and other key contacts.

  • Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required. Thrives in a dynamic, fast-moving environment with multiple priorities and tasks.

  • Entrepreneurial-minded approach to business; small/midsize company experience preferred.

This position is exempt and is paid according to the laws of the State of California.

Dowling & Yahnke offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan. The chosen candidate will be required to successfully complete a full background/credit check at the offer stage.

Dowling & Yahnke, LLC is an Equal Opportunity employer. No relocation assistance is offered for this position; candidates not residing in San Diego County, CA will be responsible for relocation at their own expense. Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available.

Interested candidates should apply here.