dm stone jobsinbrokeragecom Jobs

70 job openings

Save This Search

Refine Your Search

Show more Show less
Displaying results 1 - 15 of 70

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

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

Corporate Paralegal - Financial Services

DM Stone JobsInBrokerage.com - San Mateo, CA

The Paralegal primarily oversees and manages corporate governance and securities law formalities for certain of the firm's mutual funds. This position works with trustee and officers, all levels of company staff and management, both inside and outside legal counsel, and other fund service providers. The Paralegal regularly resolves, or recommends resolutions to, compliance and policy issues rel...

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

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

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

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

AML INVESTIGATIVE OPERATIONS DIRECTOR

DM Stone JobsInBrokerage.com - San Francisco, CA

The Investigative Operations role within Anti-Money Laundering Operations is tasked with producing financial intelligence through the detection, investigation and reporting of suspicious activity to the Financial Crimes Enforcement Network. You will lead a growing team of Investigative Operations and Special Investigation Managers and report directly to the Vice President and Head of AML Oper...

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

TAX SERVICES SR. ASSOCIATE

DM Stone JobsInBrokerage.com - Century City, CA

Global Accounting/Professional Services firm is looking for a Core Tax Services Sr. Associate. You will be responsible for utilizing research skills, applying tax foundational knowledge to understand potential tax issues, gathering client information necessary for filing, participating in tax planning, recognizing and communicating potential risks, preparing tax accrual workpapers and working ...

Application Deadline: None

SR ASSOCIATE - VC FIRM

DM Stone JobsInBrokerage.com - San Mateo, CA

Exciting opportunity to come in on the ground floor of an innovative Venture Capital firm as a Senior Associate with a focus on sourcing and originating new deals. You will support underwriting and portfolio monitoring. Potential for significant growth and career advancement at the firm. DUTIES: Originate new deals by identifying industry themes, developing networks of contacts among lower ...

Application Deadline: None

EXECUTIVE ASSISTANT - JAPANESE SPEAKING

DM Stone JobsInBrokerage.com - San Francisco, CA

BILINGUAL JAPANESE SPEAKING EA FOR SF FINANCIAL INSTITUTION DUTIES: Support Executive (e.g. writing up a thank you letter in Japanese in Tokyo, etc.) Support any executive-level visitors who require additional local support Answer complex inquiries which require thorough knowledge of the division's or group's policies and procedures. Type an review documents and drafts and review for co...

Application Deadline: None

HR/ADMIN GENERALIST WITH ADP WORKFORCE

DM Stone JobsInBrokerage.com - San Francisco, CA

Our client who is in the financial services industry is looking for a candidate for a long term contract. The main qualification for this role is ADP WORKFORCE. You will be assisting the HR Manager and performing Administrative duties. SEND RESUME AS AN MS WORD ATTACHMENT TO diane@dmstone.com

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

BSA/AML DUE DILIGENCE INVESTIGATOR

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible with assessing customer risk and producing financial intelligence through research and analysis. The DDO Investigator will conduct analyses of current and prospective customers through a variety of assigned alerts within the production and rule development environments. The DDO Investigator will also work full scope reviews through the case investigation process and de...

Application Deadline: None