Currently, Dowling & Yahnke has the following open positions:

Chief Compliance Officer / Director of Operations  

Director of Financial Planning

Financial Planner

Paraplanner

Client Service Specialist

Office Service Assistant


Chief Compliance Officer / Director of Operations

Dowling & Yahnke, LLC is one of the largest independent wealth management firms in San Diego. Founded in 1991, we serve high net worth clients who value extremely personalized, fee-only, fiduciary-based investment management and wealth planning services.

We are seeking a highly credentialed individual for its Chief Compliance Officer/Director of Operations position, reporting to Mark Muñoz, COO/CFO. The ideal candidate will have 5-10+ years of compliance and operations 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. As Director of Operations, the position supervises a staff of 16, overseeing Client Service, Administration, and Business Systems Analysts.

Dowling & Yahnke, LLC offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan. All candidates are required to successfully complete a full background/credit check at the offer stage.

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

Operations responsibilities include:

  • Contribute to the development of methods to improve processes, reduce risks and increase client satisfaction

  • Lead the day-to-day operations of the Firm to further its long-term strategic goals and manage key strategic business operations

  • Supervise staff, providing feedback for operational improvements and efficiencies

    • Direct reports include Office Supervisor, Client Service Supervisor, Compliance Assistant and two Business Systems Analysts

  • Manage staff performance reviews, staffing and discipline issues

  • Final proofing of client custodian paperwork and Investment Policies

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

  • Assist with the implementation of new software and integration into operations and administration

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.

  • Managing multi-disciplinary teams of professionals

  • 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

  • Self-motivated, confident, and able to garner the respect of others

  • Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff throughout the Firm.

  • 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.

  • Highly organized and attentive to detail

  • Excellent problem-solving skills.

  • Highest standards of personal and professional ethics and integrity.

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

Dowling & Yahnke, LLC is an Equal Opportunity employer. Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available. Relocation assistance may be provided, upon negotiation, for an ideal candidate.

Interested candidates should apply here


Director of Financial Planning

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.

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


Financial Planner

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.

We are seeking a highly motivated, detail oriented, and experienced Financial Planner to join our team, reporting to the Director of Financial Planning.  The Financial Planner will work closely with our Lead Advisors in a team-based setting and will be a critical element of our Firm’s growth initiative.  The Financial Planner is expected to make a direct impact to the business by designing customized personal financial solutions for new and existing clients and will meet with high net worth clients on a regular basis to cultivate existing client relationships.

Job Responsibilities:

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

  • 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, tax issues, insurance planning needs, college savings, 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.

  • Coach and counsel advisors on financial planning strategies via formal training or as part of client relationship reviews.

  • Become a subject matter expert, staying current on planning issues, communicating updates to staff, and contributing content to the Firm’s website.

  • Assist with development and presentation of training programs for internal staff. Impacting the future strategy of the Firm’s service model.

Qualifications and Requirements:

  • Certified Financial Planner (CFP) designation required.

  • 5+ years of financial planning experience.

  • Bachelor’s degree (MBA preferred).

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

  • Solid understanding of personal tax issues.

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

  • 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


Paraplanner

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.

We are seeking a highly motivated, detail oriented, and experienced Paraplanner to join our team, reporting to the Director of Financial Planning.  The Paraplanner will work closely with our Financial Planners and Advisors in a team-based setting and will be a critical element of our Firm’s growth initiative.  The Paraplanner is expected to make a direct impact to the business by supporting Advisors and Financial Planners in developing customized personal financial solutions for new and existing clients.

Job Responsibilities:

  • Input data into financial planning software, including constructing and updating financial planning analyses, and identifying issues and opportunities for discussion with Financial Planners and Advisors.

    • Areas of emphasis include financial goals and retirement needs analysis, Social Security and Medicare planning, education planning, tax projections, charitable planning, insurance planning needs, executive compensation and stock option analysis, estate planning, and cash flow analysis. 

  • Research ad-hoc financial planning questions.

  • Meeting preparation and follow-up client services including working directly with team members and clients to gather all required data, prepare analyses, and follow up on delivery of analyses to clients.

  • Compile, enter, and monitor CRM workflows related to client financial planning requests.

  • Communicate and work collaboratively with Financial Planners and Advisors throughout the planning process to ensure that financial planning analyses are completed accurately and promptly.

  • Become a subject matter expert, staying current on planning issues, communicating updates to staff, and contributing content to the Firm’s website.

  • Assist with development and presentation of training programs for internal staff.

Qualifications And Requirements:

  • CERTIFIED FINANCIAL PLANNERTM (CFP®) designation, or currently working toward completion, required.

  • One to three years of paraplanner and/or financial planning experience.

  • Bachelor’s degree in finance, economics, business administration or related field required.

  • Proficient in Microsoft Office suite (Word, Excel, PowerPoint) and client relationship management (CRM) software (Salesforce preferred).

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

  • Solid understanding of personal financial planning and income tax issues.

  • 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 non-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


Client Service Specialist

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.

We are seeking a highly motivated, detail oriented, and experienced Client Service Specialist to join our team, reporting to Staci Harris, Client Service Supervisor. The successful candidate will possess exceptional attention to detail, as well as a strong command of the English language with emphasis on writing, grammar, and punctuation. The Client Service Assistant is expected to make a direct impact to the business by onboarding clients, working with Lead Advisors to support the needs of our clients, and acting as a liaison with our custodian, always delivering superior customer service.

Job Responsibilities:

  • Manage the end-to-end basics of onboarding new clients: prepare custodial paperwork to facilitate initial account investment, establish accounts with custodian, and reconcile holdings and cost basis on new and transferred accounts

  • Provide superior internal and external client service by learning to anticipate client needs, manage expectations and deliver quality product in a timely manner

  • As requested by the Lead Advisor, provide client support by data gathering, acting as the liaison between the custodian and the Lead Advisor, and being well versed in all custodian offerings.

  • Perform general administrative support to Lead Advisors, including templated correspondence, scanning investment statements, reports generation, trade confirmation reconciliation, and other paperwork.

  • Provide elementary technical support for the Lead Advisor, including data gathering, modeling and case design support, presentation development, etc.

  • Maintain client accounts, records, and systems in accordance with firm standards

  • Perform daily reconciliation of internal accounting system with custodians

  • Research and resolve client inquiries in a timely manner; escalate more complex issues to more senior staff or supervisor

  • Review daily reports and alerts to ensure data integrity

  • Educate clients on account services and capabilities, participate in client onboarding, including review of account materials for signature and digital concierge

  • Participate in quarterly and annual reporting processes

  • Other duties and projects as assigned

Qualifications and Requirements:

  • BA/BS degree required

  • Minimum one (1) to three (3) years work experience in Financial Services; working knowledge of operations in a Registered Investment Adviser (RIA) firm highly preferred

  • Experience with Schwab Web and Schwab Institutional, Tamarac, and Salesforce CRM, a plus

  • Excellent written and oral communication skills required, including spelling, grammar, punctuation, and business writing

  • Proficient in all MS Office applications, particularly Word, Excel, and Outlook

  • 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 non-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


Office Services Assistant

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.

We are seeking a highly motivated, detail oriented, and experienced Office Services Assistant to join our team, reporting to Alex Dunn, Office Supervisor. The successful candidate will possess exceptional written and verbal communication skills, positive energy, and professionalism.  The Office Services Assistant will work cohesively with the Administrative team to oversee the logistics and daily operations of a 14,000+ square foot office space, support the general tasks of a fast-paced wealth management firm, and manage the evolving needs of a growing workspace.

Job Responsibilities:

  • Oversee facilities needs of a large office space (14,000+ square feet, 50+ employees)

  • Function as point of contact for a variety of company vendors to ensure optimal partnerships.  Responsibilities include scheduling, escorting throughout the office, effectively communicating the office’s needs, and appropriate follow up.

  • Submit and monitor “tickets” for workspace projects in progress.  Including furniture orders, appliance orders, repairs, building out new office spaces, etc.

  • Work with CRM vendor database, including data entry. 

  • Facilitate annual fixed asset inventory.  Maintain and organize office fixed asset tracking throughout the year, including furniture and keys assigned to all workspaces and employees.

  • Perform biweekly inventory and supply order.

  • Monitor and process outgoing and incoming mail; internal mail distribution.

  • Support office operations including internal scheduling, event support and set up, upkeep of production rooms, meeting spaces, and kitchen.

  • Provide interview support, including scheduling of interviews and assessments

  • Other duties and projects as assigned

Qualifications and Requirements:

  • AA degree required; BA/BS preferred

  • Prior experience in office/ facilities operations, partnering with vendors and third parties

  • Experience with physical office (furniture) inventory and ordering of office supplies

  • Experience with Salesforce CRM a plus

  • Excellent written and oral communication skills required, including spelling, grammar, punctuation, and business writing

  • Proficient in all MS Office applications, particularly Word, Excel, and Outlook

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

  • Strong interpersonal skills and sense of teamwork valued.

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

  • Strong written and verbal communications skills.

This position is non-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