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Corporate Actions Specialist - Investment Management Firm

DM Stone JobsInBrokerage.com - San Francisco, CA

Prestigious asset mgmt firm is seeking an experienced Corporate Action Specialist to oversee the corporate action lifecycle for all events impacting the firm. This includes capturing events, communicating with internal and external parties, coordinating decision making, and processing events to accounting systems. The Corporate Actions specialist will:. ?h Monitor incoming notifications from cu...

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 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

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

AML - QC/TESTING SPECIALIST

DM Stone JobsInBrokerage.com - San Francisco, CA

AML - QC/TESTING SPECIALIST Reporting to the Director of QC & Testing within BSA/AML, the QC & Testing Specialist will be responsible for conducting testing of BSA/AML, Sanctions, FCPA compliance and fraud related controls throughout the Bank. The QCT specialist will execute the review coverage based on review objectives, regulatory requirements, and risks. Perform BSA/AML, sanctions, FCPA, ...

Application Deadline: None

WEALTH MANAGEMENT BUSINESS ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA

Established and successful, this large commercial bank is looking for a CRM Business Analyst. You will support the Wealth Management business by working directly with the Business Architect. In this role you will partner with the Business architect on defining/supporting the 5 year roadmap of the WM CRM implementation. This role will be responsible for working with business stakeholders and ...

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

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

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

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

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

COMPLIANCE ANALYST - CONTRACT

DM Stone JobsInBrokerage.com - Orinda, CA

3 Month Contract for a Compliance Professional who has experience in Asset Management. You will assist with monitoring and testing programs as well as certain compliance administration processes. Assist with forensic testing, monitoring, annual assessment and ongoing regulatory requirements. Liaise with investment teams, research, models, risk management, trading and operations. Assist with...

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

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

COMPLIANCE OFFICER - SAN FRANCISCO AND SAN RAMON

DM Stone JobsInBrokerage.com - San Francisco, CA

***THERE ARE 2 POSITIONS: 1 IN SF AND 1 IN SAN RAMON" This position is within the Administrative Services Group Compliance Function at this established and successful financial institution and is responsible for taking a lead role in ensuring that the assigned Business Lines policies and procedures align with corporate compliance. You will lead the execution and coordination of the complianc...

Application Deadline: None