WHO WE ARE

We are an investment firm headquartered in Carlsbad, California. We value and respect the values, leadership and work ethic instilled by military service, and as we expand our business to better serve military personnel and their families we are looking for a few exceptional individuals with a military background to represent our firm and participate in our growth.

In 2011 we recognized that we had an opportunity, indeed we feel it is our duty, to provide financial services that will benefit men and women in uniform and their families. To fulfill our vision, with the help of recently retired senior military we are expanding to ensure we have the resources to address the needs of all men and women in service to our country. With your knowledge of the military lifestyle, pay and benefits, you are uniquely positioned to assist military professionals and their families with sound financial planning and advice.

Anchor Bay’s business plan is built around a Comprehensive Financial Planning approach offering a variety of financial services including investment management, retirement planning, estate planning, insurance, and educational funding.

Since our inception in 1992, we have managed the firm with the long term in mind--we invest significantly in our business and in our people. We work hard to maintain a progressive culture that rewards teamwork and encourages a work-life balance. We have combined winning people, innovative technology and a value investment philosophy to be a leader in investment management. We value fresh thinkers who wish to contribute in a collaborative, energized environment.

NOW HIRING QUALIFIED CHIEF COMPLIANCE OFFICER

Anchor Bay Capital (RIA) and Anchor Bay Securities (BD) is seeking an experienced Compliance Officer/CCO with a minimum of 5 years compliance experience to oversee all of the regulatory and investment oversight activities of the firms. The BD is a non-introducing $5,000 net capital minimum with lines of approval for Mutual Funds and Variable Annuities.

RESPONSIBILITIES INCLUDE:

• Ensuring the firm is in compliance with all FINRA, MSRB, SEC, and State rules and regulations
• Update and maintain all Policies and Procedures including AML programs
• Assist advisors in complying with the rules and regulations governing Registered Investment Advisors and adherence to the firm’s policies and standards of conduct
• Maintain and update as necessary the firm’s procedures pertaining to advisory business
• Develop, maintain, and implement any necessary risk assessment reviews, including internal audits and surveillance/monitoring programs
• Perform all daily, weekly, monthly, quarterly, and annual compliance reviews/filings as necessary
• Overseeing and participating in all regulatory reviews, inquiries, and audits
• Responsible for developing and monitoring FINRA continuing education programs (firm element & regulatory element)
• Institute and maintain an effective compliance communication program for the organization, including promoting heightened awareness of compliance requirements, understanding of new and existing compliance issues and related policies and procedures
• Ensure adequate disclosures for Form ADV and compliance with delivery requirements
• Evaluate new or enhanced services, processes and initiatives for compliance issues
• Prepare and review training materials and provide compliance training to new hires and continuing education for existing employees to keep current on the changing regulatory environment
• Prepare for and lead examinations or investigations conducted by SEC or other external parties. Oversee regulatory filings and IAR registrations

CANDIDATE REQUIREMENTS:

• Bachelor’s Degree or Higher
• Current Series 7, 63, 24 and 51 (or equivalents)
• Minimum of 5 years’ experience in securities compliance at a broker/dealer
• Knowledge of current FINRA issues and concerns
• Strong working knowledge of FINRA, SEC, MSRB and State Securities rules and regulations
• Understanding of the interactions between an RIA and FINRA member Broker-Dealer and their associated responsibilities a must
• Strong product knowledge and related regulatory reporting and sales practice issues

Please send resume to: anchorbayteam@anchorbaycapital.com

NOW HIRING QUALIFIED AND HIGHLY MOTIVATED INVESTMENT REPRESENTATIVES

We are looking for highly motivated, ambitious and disciplined individuals with a strong desire to assist individuals and families in their efforts to reduce debt, build wealth and pursue their financial goals and dreams. They must be committed to growth and share our vision of a firm in which professionals are extremely client-centered in order to improve the financial well being of the individuals and families they service.

Our ideal candidate values interpersonal relationships, is an effective communicator, bright and good-natured. Professional, courteous, engaging and eager to meet people, discovering their needs and concerns then understanding and communicating how Anchor Bay’s services can solve their problems, the candidate will also possess a college degree and be willing and able to obtain the required securities licenses.

Our objective is to provide a congenial work environment in which professionals may freely exchange ideas and realize their full potential. Anchor Bay provides all necessary administrative support, which relieves the Representative of the mundane tasks that can sap productivity.

Our Representatives are in business for themselves, but they’re not alone. Supported by our network of financial specialists, local office facilities, training programs and mentoring opportunities, they have access to informational resources, informed speakers, products, and the assistance they need to help their clients and build their practices. The compensation package is very competitive, with no cap on earning potential.

COMPENSATION AND OTHER BENEFITS

• A superior compensation package (either 1099, W-2, or a combination of both) including production bonuses, and compensation based on the firm’s profitability
• Business succession planning that will enable the Representative to capitalize on the equity of his or her business and provide an exit strategy in case of retirement, death or disability
• Generous commission payout
• Medical benefits
• The satisfaction of making a positive difference in others’ lives
• A Professional work environment that fosters open communication
• An environment that is dedicated to life-long learning and continuing self-improvement through education

PROFESSIONAL INVESTMENT CAREERS

We welcome highly motivated, ambitious and disciplined investment professionals with an entrepreneurial spirit that matches those of our team.

Anchor Bay Capital, Inc. is looking for a few highly motivated, ambitious and disciplined investment professionals who have a philosophy and entrepreneurial spirit similar to ours, with compatible long-term objectives. You must be committed strongly to the growth of your practice and share in and support our vision of being a premier comprehensive wealth management firm.

As a successful investment professional, you most likely have concerns about the future of your business and your personal legacy. Have you asked yourself the following questions:

• If you should die, could you transfer the value of your business to your family or estate?
• If you should become disabled, who would service your client base?
• If you wanted to sell your business, how would you do it? How would you value it?
• If you are building a fee-oriented business, is your broker/dealer taking too much of your income?
• Have you engaged in succession planning? Do you have a buy-sell agreement in place?

Located in Carlsbad, California, our office is a friendly, small-company environment. In addition to an outstanding workplace culture, we offer a comprehensive benefits package.

Please contact us at (760) 602-3470 if you have any questions about this unique opportunity.