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Chief Compliance Officer - Registered Investment Advisor

DM Stone JobsInBrokerage.com - San Francisco, CA

Highly successful RIA firm is seeking a CCO to serve on their management team. Will include 1940 Act and institutional accounts. Must have RIA compliance officer experience (5+ years), preferably with some CCO experience. A JD is a plus. The position is very hands on (will have some administrative support only) and this is a small, close-knit team, so must be comfortable in that culture. Knowle...

Application Deadline: None

European Fixed Income Trader - 11pm to 8am shift

DM Stone JobsInBrokerage.com - San Francisco, CA

The European Fixed Income Trader will be a critical member of the global bond team, focusing on the European fixed income trading effort for credit, rates, and asset-backed markets. Trading will occur out of San Francisco during European market hours, approximately 11pm-8am PST. Prestigious asset mgmt. firm in SF. Primary responsibilities include: ?X Executing investment decisions and investin...

Application Deadline: None

BSA/AML INVESTIGATOR - DUE DILIGENCE OPS

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for assessing customer risk and producing financial intelligence through research and analysis. Conduct analyses of current and prospective customers through a variety of assigned alerts within the production and rule development environments. You will also work full scope reviews through the case investigation process and develop work products documenting risk analy...

Application Deadline: None

DEPOSIT ACCOUNT OPERATIONS AND REPORTING ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for analyzing daily processing and oversight of key compliance and regulatory functions within the assigned area of Deposit Service. You must have a strong sense of urgency and will be sensitive in meeting strict deadlines applicable to federal and state laws and regulations. You will ensure sound processes are in place in order to improve efficiency, reduce risk, and...

Application Deadline: None

BANKING POSITION

DM Stone JobsInBrokerage.com - Livermore, CA

The Preferred Banker position is responsible for demonstrating the bank?s core values in all actions to provide an excellent customer experience. This position is expected to provide quality customer service across bank products as well as maintain branch operations. DUTIES AND RESPONSIBILITIES: You will demonstrate thorough knowledge of all branch ops and banking policies and procedures. ...

Application Deadline: None

PREFERRED BANKING MANAGER

DM Stone JobsInBrokerage.com - Boston, MA

The PBO Manager position is responsible for ensuring the success of the branch through excellent Sales, Business Development, Customer Service, Branch Operations and Management of staff. This position provides a superior level of customer relations and promotes the sales and service culture through coaching, guidance and staff motivation; achieves individual and branch sales goals through new...

Application Deadline: None

EXECUTIVE ASSISTANT - JAPANESE SPEAKING

DM Stone JobsInBrokerage.com - Monterey Park, CA

Provide the most complex executive support and administrative duties involving frequent exercise of independent judgment, initiative, and diplomacy in support of a Senior Executive Vice President. DUTIES: Answer complex inquiries which require thorough knowledge of the business unit?s policies and procedures Produce highly confidential materials in the form of memos, correspondence, and let...

Application Deadline: None

REVENUE ACCOUNTANT

DM Stone JobsInBrokerage.com - Brisbane, CA

Responsibilities: All aspects of software revenue recognition, recording, tracking and reporting of revenues as follows: Maintain and enforce revenue recognition policy; review and advise on individual deals to ensure company revenue objectives are met in accordance with revenue recognition rules and principles; ensure proper recording, tracking, reporting, and reconciling of bookings and re...

Application Deadline: None

SR ADMINISTRATIVE ASSISTANT - MARKET HOURS

DM Stone JobsInBrokerage.com - San Francisco, CA

Financial Services firm is looking for an assistant with exceptional Excel skills to support 2 teams. RESPONSIBILITIES: Maintain busy calendars, scheduling frequent meetings and conference calls Organize registration for conferences Assist with updates and formatting of investment spreadsheet models and various complex Excel spreadsheets (including macro-driven files) Update calendar for ...

Application Deadline: None

SR. FINANCIAL ANALYST - MARKETING

DM Stone JobsInBrokerage.com - Redwood City, CA

This role reports into the Manager of FP&A and will provide an excellent opportunity to be a collaborative business partner and trusted advisor for the senior management team of Chief Marketing Officer (CMO) Organization which includes both the GLOBAL MARKETING ORGANIZATION. This group is responsible for planning and execution of long term strategic marketing initiatives for all franchises acr...

Application Deadline: None

MARKETING AND BIZ DEV MANAGER - LEGAL

DM Stone JobsInBrokerage.com - Palo Alto, CA

Global Law firm is looking for an experienced Marketing and Biz Development Manager. Looking for someone with Silicon Valley connections and breadth of experience who will be a huge asset to an entrepreneurial team of Silicon Valley Attorneys. This is a unique, newly created position - this office primarily works with emerging growth companies. You will interface with Practice Group Manage...

Application Deadline: None

COMPLIANCE OFFICER-BANKING EITHER SF, LA OR SAN RAMON

DM Stone JobsInBrokerage.com - San Francisco, CA

THIS POSITION CAN RESIDE IN EITHER SF, LA OR SAN RAMON You will be responsible for taking a lead role in ensuring that the assigned Business Lines policies and procedures align with corporate compliance. Lead the execution and coordination of the compliance function at the Business Line level. Review and interpret new and pending laws and regulations, which potentially affects the business p...

Application Deadline: None

DATA ANALYST - GAMING INDUSTRY

DM Stone JobsInBrokerage.com - San Francisco, CA

As a data analyst, you will combine your strategic and analytical skill sets to develop, test, and analyze hypotheses that will have a far-reaching impact on the success of the company. You'll communicate these insights to key executive stakeholders and play an influential part in establishing this core analytics competency. Responsibilities: Work closely with studio heads to identify key q...

Application Deadline: None

Project Manager - Wealth Management

DM Stone JobsInBrokerage.com - San Francisco, CA

This is a contract to possible perm assignment (est 3 months as contractor). Under the general direction of the Private Wealth Management Program Director, the Project Manager Level II role manages small-to-medium Department Projects. The individual specializes in multiple areas, is extremely adaptable and has the ability to manage multiple highly complex projects. The role requires a high lev...

Application Deadline: None

OPERATIONS MONITORING ENGINEER

DM Stone JobsInBrokerage.com - San Francisco, CA

The Operations Monitoring Engineer is responsible for the hands-on technical management, monitoring, maintenance and troubleshooting of enterprise-wide monitoring systems and related infrastructure; ensuring that any issues that may adversely impact the confidentiality, integrity or availability of computing resources are identified, properly alerted and promptly resolved. DUTIES: Responsible...

Application Deadline: None