We create value for our people and value for our clients.

We always take the high road, even if it costs us in the short term, because we believe the things that make you richest are the things you do for others.

Independence


 

Connection


 

Responsibility


 

 
Independence

The freedom to make recommendations, unbound by mandates or incentives.

 
Connection

One investor, one advisor, one goal.

 
 
Responsibility

Client relationships are built on a simple premise: transparency and trust.

Careers

For those who seek freedom of choice, we’re the employer of choice.

Career Opportunities

 
  • + Business Data Analyst
    - Business Data Analyst

    Business Data Analyst | Platform Management

     

    Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the 2015 and 2016 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016 by the New York State Society for Human Resources Management and the Best Companies Group.

    Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a business data analyst. In this role, you will help lead the firm’s advisory technology platform development team with requirements for data reconciliation and corporate action processing. Additionally, you will serve as a liaison between AP and data providers in the development of standard operational procedures for daily data collection and processing.

     

    Responsibilities

    • Lead the effort to get AP’s advisory technology platform, Portfolio Insight, direct data feeds from all of the the firm’s data providers
    • Act as a liaison with data providers and develop standard operational procedures for daily data collection and processing
    • Lead the PI development team with requirements for data reconciliation and corporate action processing
    • Research, analyze and remediate data issues related to client portfolio reporting (Portfolio Insight and Albridge Wealth Reporting)
    • Provide demos and training sessions for the Portfolio Insight platform and provide level-2 support of the platform
    • Work with business stakeholders to formulate data views and extracts in support of business needs
    • Implement automation processes to acquire, analyze, transform and chart data to provide statistical insight

    Job Requirements

    • Solid understanding of financial data analytics, transaction code mapping, performance calculations and reporting
    • Creative and resourceful analytical skills with ability to work under limited supervision
    • Organized self-starter with ability to multi-task on projects
    • Advanced proficiency with MS Excel, including MS Office
    • Knowledge of SQL scripting, reporting services and data automation
    • Strong interpersonal and written communications skills

     

    Education and Experience

    • Bachelor’s degree in business information systems and/or computer science
    • Five-plus years’ data analytics, remediation and reporting experience

     

    If you are interested in this position, Apply_Now_hover.

     

    Limitations and Disclaimer

    The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position.  All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics.   To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.

  • + Advisory Chief Compliance Officer, Financial Operation Principal
    - Advisory Chief Compliance Officer, Financial Operation Principal

    Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the 2015 and 2016 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016 by the New York State Society for Human Resources Management and the Best Companies Group.

    Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for an advisory chief compliance officer and financial/operations principal. In this role, you will be responsible for reviewing selling agreements and conducting due diligence of new management firms to bring in additional Registered Investment Advisor (RIA) programs. Additionally, you will research financial planning and analytical tool packages that the firm looks to endorse for its financial planners, the Investment Advisor Representatives (IARs).

     

    Responsibilities

    • Create, review and maintain due diligence on Turnkey Asset Management Programs (TAMPs) and individual managers for AP’s sponsored Separately Managed Accounts (SMA) program
    • Ensure that regulatory requirements are met for the corporate RIA, including advisor-facing brochures and additional regulatory documents
    • Work with due diligence coordinator to develop a report that will provide information on where advisors’ accounts reside, based on the advisor and state
    • Establish compliance rules and supervision requirements surrounding advisory accounts, including  a review of current and future account billing to ensure each account is in line with pricing policies
    • Generate monthly report using provided data and the IARD system to create a delta, thus giving the ability to monitor where licensing has been missed or where advisors have not requested to be registered in the state
    • Review marketing materials and/or presentations that focus on investment advisory solutions developed by IARs
    • Work with the advisory products manager to review correspondence and marketing materials from each TAMP
    • Develop a surveillance tool to monitor and manage asset allocation drift reporting
    • Maintain and update the firm’s securities-related written supervisory procedures, including review, interpretation and implementation of regulatory rules
    • Conduct annual audit of the firm’s supervisory system
    • Heighten supervision determination and implementation
    • Oversee and respond to regulatory exams and investigations
    • Reconcile transaction-related exception and surveillance reports
    • Formulate and administer the firm’s continuing education plan
    • Administer the issuance and recordkeeping of signature guarantee stamps
    • Oversee securities licensing, including processing of U-4, U-5 and fingerprints for all associated persons
    • Investigate, respond and CRD report customer complaints and arbitrations
    • Review and comment on potential IAR candidates

     

     

    Job Requirements

    • Knowledge of FINRA, SEC, and state regulatory rules and regulations, as well as operations and product sale, regulatory Web-based reporting systems, and securities financial accounting and reporting
    • Possess strong organizational, analytical and problem-solving skills
    • Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations
    • Ability to negotiate and/or mediate problems between the firm and individual advisors
    • Proficient computer skills in system, and Microsoft Office and Excel
    • Ability to effectively communicate with representatives, regulatory agencies and customers, and to do so in a courteous manner
    • Aptitude to investigate, evaluate and make determinations without bias, showing independent and impartial judgement
    • Capability in constructing, updating and communicating written supervisory procedures
    • Ability to implement policies and procedures into an automated operational system
    • Capacity to adapt and conform to the firm’s regulatory business and operational environment

     

    Education and Experience

    • Bachelor’s degree in related field
    • Minimum of 15 years’ experience in investment advisory business that includes compliance and surveillance of advisory accounts, as well as oversight of corporate and independent RIA firms
    • 10 years’ experience in a managerial position
    • 10 years’ experience with a broker/dealer
    • FINRA Series 7, 63, 65/66 and 24 licenses

     

     

    Limitations and Disclaimer

    The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position.  All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics.   To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.

     



    If you are interested in this position, Apply_Now_hover

  • + Business Services Associate
    - Business Services Associate

    Business Services Associate | Business Services/Operations

     

    Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. year after year, was awarded the 2015 & 2016 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016 by the New York State Society for Human Resources Management and the Best Companies Group.

    Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for [insert job title name and brief description, goals.

     

    Responsibilities

    • Review all new account information for completion and accuracy
    • Input and review New Account Forms (NAFs) in STARS
    • Utilize the STARS BPM to blotter transactions when necessary
    • Process requests in STARS to open brokerage accounts and managed accounts through clearing firm
    • Upload managed accounts to clearing firm’s Managed Investments System (MI)
    • Create requests for Info Direct and Advent Feeds for managed accounts
    • Process account changes and updates within STARS and NetEx360
    • Conduct Homeland Security checks of all new investing clients and obtain verification on all failed clients from representatives to clear any discrepancies
    • Spot check  three-year verification, welcome letters and address changes that will be  sent to clients
    • Create tickets through Salesforce to assist reps with any questions or queries
    • Process STARS-generated failed mail
    • Complete team projects when necessary
    • Create a “one-stop shopping” liaison service for new affiliated advisors
    • Assist in the coordination and implementation of rep candidates transferring to APFS
    • Produce and collate transfer and any account-opening paperwork
    • Process, prepare and follow up on all incoming change of broker/dealer requests
    • Create affiliated advisors’ identification numbers and enter them into back office systems
    • Process and follow up on branch address change requests, client account address changes, advisor account change requests and termination of advisors in back office systems
    • Maintain management company contact listings

     

    Job Requirements

    • Proficient STARS and other key technology programs, including NetX360 and Albridge, as well as Excel, Outlook and Word
    • Excellent communications skills
    • Ability to multi- task and keep up with industry demands

       

      Preferred Skills

    • Customer service skills
    • Detail-oriented
    • Some experience within a business/office setting is preferred

       

       Educations and Experience

    • Bachelor’s degree in related field

    Think your the person for this job?  We'd like to hear from you. 
    Apply_Now_hover

  • + Chief Legal Compliance Officer
    - Chief Legal Compliance Officer

    Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused. We're proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest growing, privately-held firms in the United States six consecutive years.

    American Portfolios has an immediate opportunity for a chief legal & compliance officer with broker/dealer (B/D) and registered investment advisor (RIA) experience.  As the chief legal & compliance officer, you will report directly to the CEO and will be responsible for all legal and compliance matters, including:

    • Within the first three months—Develop and begin to execute a plan to combine and centralize the advisory compliance function with the B/D compliance function. The plan should include organizational structure, roles and responsibilities, and process workflow.
    • Within six months—Establish a stock transfer function for the holding company to facilitate the issuance and transfer of holding company shares and the maintenance of a stockholder. Negotiate with insurance brokers and underwriters in securing professional liability insurance, cyber insurance and fidelity bond coverage.
    • Within nine months—Complete a full process and technology audit of the centralized compliance function, and a full review of supervisory controls in place for both the B/D and the RIA firm.
    • Within 12 months—Through utilizing outside vendors and/or internal technology, establish a contract management system for all contracts executed by the holding company and all subsidiaries.
    Please click below to apply:

    Apply_Now_hover

    BPNY2c2016 

Benefits

 
  • + Working at American Portfolios
    - Working at American Portfolios

    Employees at American Portfolios are dedicated, competent individuals, who provide the highest level of service to the firm’s affiliated financial representatives, located in hundreds of branch offices throughout the country.  Every employee plays a critical role in meeting this fundamental and core commitment. As a proud recipient, ranking #1 in the 2016  New York State's Best Companies to work for of small to medium-sized firms, American Portfolios provides a pleasant work environment that encourages collaboration, self-initiating work practices and creative thinking for new ideas and ways of doing business. American Portfolios values and nurtures this relationship; the success of our business depends on it.

    BPNY2c2016

  • + Key Benefits
    - Key Benefits

    American Portfolios has put together a very attractive and competitive benefits package for its full-time employees, offering medical and supplemental health care coverage, life insurance, short and long-term disability, wellness programs, as well as honoring military, family and medical leave entitlements*  In addition, The American Portfolios 401(k) Savings Plan offers a variety of investment options and participation levels for an employee to choose from in planning for their retirement. American Portfolios’ Employee Stock Option Program also allows employees to invest in their future with the company by purchasing company stock or be rewarded stock at the discretion of the board of directors. 

  • + Other Benefits
    - Other Benefits

    American Portfolios provides several other amenities to full-time employees through generous programs for paid-time off, education tuition reimbursement, completion of FINRA securities license bonuses, committee participation and the opportunity to earn awards and recognitions throughout the year.