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Registered Client Service Associate

DM Stone JobsInBrokerage.com - Bethesda, MD

The Client Service Associate provides full support to one or more Financial Planners, ensuring client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards. Duties include: executing investment buy and/or sell orders, analyzing reports to determine appropriate action to be taken on behalf of client accounts, opening an...

Application Deadline: None

OFAC BUSINESS ANALYST - CONTRACT

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for identifying business requirements through a "use case" driven approach. Work with multiple business units to gather requirements from a regulatory and application standpoint and take the lead role in the discovery, analysis, validation and documentation of business requirements, process flows, user acceptance testing and training plans within the bank's BSA/AML dep...

Application Deadline: None

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

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

AML INVENTORY ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA

Long term contract (open ended): In this role as an AML Investigative Support Specialist you will assist in assigning and managing inventory for critical AML Operations areas to include Investigative and Due Diligence Ops. The Specialist will assign alerts and in some instances prepare case files and/or provide investigative support. The Specialist will also compile, analyze and present da...

Application Deadline: None

CLIENT SERVICE ASSOCIATE WITH SERIES 7 AND 63

DM Stone JobsInBrokerage.com - San Diego, CA

You will provide a wide range of sales, service, administrative and relationship management support to assigned wealth advisors and investment professionals across Registered Investment (RIA), Broker-Dealer and Trust or team of same and to be the first point of contact for clients or prospects. Acting as the liaison between the investment professional/client and the PWM middle office functions...

Application Deadline: None

HEAD OF COMPLIANCE - MANDARIN SPEAKING

DM Stone JobsInBrokerage.com - San Francisco, CA

Global bank located downtown San Francisco is looking for Compliance Manager to head their team. The Head of Compliance Department will be responsible in supervising lower level compliance officers, and researching and analyzing pending/new/changed regulations, including related to the Dodd-Frank Act, and determining new requirements necessary. You will participate in business-as-usual compl...

Application Deadline: None

SR RISK MANAGEMENT ANALYST - LA or BREA or SAN DIEGO

DM Stone JobsInBrokerage.com - Los Angeles, CA

PLSE NOTE THAT THE WORK LOCATION CAN BE LA, BREA OR SAN DIEGO The position supports the Risk Management operational risk management team in identification, assessment and monitoring of key business operational risks. This includes both business-specific risks and enterprise-wide "module" risks. Module risks include, but are not limited to, product risk, vendor management, project, informatio...

Application Deadline: None

RELATIONSHIP MANAGER - BANKING -WHO SPEAKS CHINESE

DM Stone JobsInBrokerage.com - San Francisco, CA

Relationship Manager is needed to develop and manage a portfolio of commercial real estate loans; international business and other commercial loans. You will assess credit proposals, perform in-depth due diligence and compliance analysis in order to write up credit recommendation reports You will also assist the section head in supervising junior officers of the team. REQUIREMENTS: Master ...

Application Deadline: None

SR BSA/AML INVESTIGATOR DUE DILIGENCE OPERATIONS

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be tasked with assessing customer risk and producing financial intelligence through research and analysis. The Senior DDO Investigator will conduct analyses of current and prospective customers through full scope reviews following the case investigation process and develop work products documenting risk analysis. The Senior DDO Investigator will also serve as a team lead and address ...

Application Deadline: None

COMPLIANCE MANAGER ADVISORY SERVICES

DM Stone JobsInBrokerage.com - San Ramon, CA

Responsible for managing the execution and coordination of the compliance function at the Business Group level. This includes execution and coordination of the BSA/AML/OFAC compliance under the direction of the Corporate BSA Officer. Manage the review and interpretation of new and pending laws and regulations, which potentially affect the business practices for the assigned Group. Reports i...

Application Deadline: None

JR. EXECUTIVE ASSISTANT

DM Stone JobsInBrokerage.com - Palo Alto, CA

You will provide administrative support to a Managing Director and a Senior Principal. Must be able to handle multiple tasks, work independently, and have superb communication, prioritization and organizational skills. The position requires a ?jack-of-all-trades? individual who can roll-up their sleeves and assist with various components of business operations. KEY RESPONSIBILITIES Heavy ca...

Application Deadline: None

REGIONAL FIDUCIARY OFFICER

DM Stone JobsInBrokerage.com - Los Angeles, CA

At the regional level, you will be accountable for account growth, client retention, business economics and risk management (provides fiduciary oversight, reviewing documents, negotiating account terms and leading the approval process for discretionary distributions, assuring proper controls and satisfactory examinations and audits) across fiduciary activities. You will provide coaching to te...

Application Deadline: None

ASSOCIATE PRODUCT MANAGER - GAMING CO

DM Stone JobsInBrokerage.com - San Francisco, CA

A Mobile Entertainment Company started by two engineers, is looking for an Associate Product Marketing Manger. You will advise the company and each of the product teams on what gamers like and how to build the best games for them. You will be analyzing market data, performing customer surveys and research, and acting as the liaison between the marketing team and our product teams. Additionally...

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