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

 
  • + Senior Business Analyst
    - Senior Business Analyst

    Senior Business 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

    • Provide creative technology solutions to AP’s business problems by analyzing and documenting business requirements and processes, including recommendations for improvement.
    • Help ensure that the system developers have a clear definition of what the business is looking to accomplish; go above and beyond to understand the client’s complete business need and put a plan into action.
    • Serve as a liaison among software engineering, application services, software vendor(s) and the business, including functioning as a subject matter expert (SME).
    • Test system deliverables and track issues that require remediation.
    • Identify and document system deficiencies and recommend solutions, including base functionality and UI design.
    • Develop test plans, work with users to develop test scripts and coordinate test transmissions, as required.
    • Create internal and external meeting objectives and agendas.
    • Assist in formulating and delivering end-user training and adoption.
    • Aid in meeting project deadlines and schedules.
    • Collaborate with other members of the Technology Department to develop project documentation.
    • Review operational procedures and methods, map current business processes, define and analyze business activities, identify best practices and recommend improvements.

     

    Job Requirements

    • Deep understanding of performance theory and reporting and calculations, including IRR and DTWR, in accordance with the Global Investment Performance Standards (GIPS®).
    • Ability to address ad hoc inquiries about performance analysis, including reconciling and troubleshooting all relevant calculations, or providing explanations of performance fluctuations and anomalies.
    • Share responsibility for updating the look and feel of the advisory platform interface, as well as translating requirements for the product's optimal functionality into interactive solutions. (This entails incorporation of hands-on advisor research, design of the interface for optimal effectiveness, inclusion of easily navigable content and design for simplified usage and maximum aesthetic appeal.)
    • Minimum intermediate knowledge of financial instruments (Equities, Fixed Income, FX, Futures) and the trading life-cycle (front/middle/back office, order entry, clearing & settlement, etc.).
    • Familiarity with the concepts of service-oriented architecture (SOA) and its components, specifically SSO and Web services.
    • Knowledge of the fundamentals of the systems development life-cycle, including planning, analysis, design, construction and testing.
    • Experience in reverse engineering and documenting existing applications.
    • Detail oriented; ability to multitask and meet deadlines.

     

    Preferred Skills

    • Adaptable, flexible personality with excellent communication and organizational skills, such as the ability to describe technical solutions to a business audience and business information to a technical audience
    • Ability to interact and work effectively across functional/locations while performing multiple tasks in a fast-paced, constantly changing environment
    • Understanding of agile software development practices and patterns a plus
    • Ability to understand and diagram business process workflows
    • Understanding of basic Internet and client/server architectures
    • Working knowledge of SQL and database design
    • Knowledge of Albridge Wealth Reporting, JIRA and Confluence a plus

       

      Education and Experience

    • Bachelor’s degree or equivalent
    • Professional qualifications in Business Analysis or Data Analysis
    Five-plus years’ in business process management


     

    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.

  • + Chief Financial Officer
    - Chief Financial Officer

    Chief Financial Officer | Executive

     

    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 chief financial officer. In this role, you will be responsible for the supervision of the company’s financial affairs and cost benefit analysis. You will also provide assistance on all strategic and tactical matters as they relate to budget and financial management. Additionally, you will be required to forecast the needs of new funding and secure that funding, as well as create awareness and knowledge of financial management matters.

     

    Responsibilities

    • Assist in formulating the company’s future direction and supporting tactical initiatives
    • Monitor the implementation of strategic business plans
    • Develop financial and tax strategies
    • Manage the budget process
    • Develop performance measures that support the company’s strategic direction
    • Participate in key decisions as a member of the executive management team
    • Manage and oversee the finance department
    • Participate and/or assist in key negotiations, acquisitions and due diligence
    • Oversee the issuance of financial information
    • Report financial results to the board of directors, chairman of the board of directors and CEO
    • Monitor cash balances and cash forecasts
    • Monitor and assist in arranging for debt and equity financing
    • Participate in maintaining banking relationships
    • Stand accountable for the administrative, financial and risk management operations of the company, which include the development of a financial strategy, and the ongoing development and monitoring of accounting internal controls designed to preserve company assets and report accurate financial results

    Job Requirements

    • Ability to train, mentor and manage colleagues
    • Strong conflict-resolution skills
    • Strong organizational and time-management skills, with the ability to multi-task and delegate tasks
    • Aptitude to strategically plan, innovate, and prepare for future demands and needs
    • Ability to partner with executive and senior management teams
    • Possess a high level of written and verbal communication skills

     

    Education and Experience

    • Master’s degree in accounting, finance or business administration, or equivalent business experience
    • CPA licensure
    • 10-plus years of progressively responsible experience for a major company or division of a mid-size  corporation
    • Financial Service’s Broker Dealer experience a must

    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

  • + 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.