Jobs at DM Stone JobsInBrokerage.com

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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

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

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

Project Finance/Accountant

DM Stone JobsInBrokerage.com - San Francisco, CA

Project Finance/Accountant San Francisco based real estate investment firm is seeking an accountant to assist with accounting, analysis and reporting for acquired subsidiaries. Position reports to the Accounting Manager. Responsibilities Accounting Serve as staff accountant, reporting to Accounting Manager, with responsibility for full books for 2-3 small subsidiaries Project Finance ? All ...

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

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

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

Portfolio Accounting/Operations Associate - Reconciliations

DM Stone JobsInBrokerage.com - New York, NY

Our client, a prestigious asset mgmt. firm, delivers customized wealth management advice and solutions to a wide range of clients, including individuals, families, foundations, and organizations. The Client Service Operations team provides middle-office support to help investment professionals and clients meet their financial goals. The Operations Associate is responsible for the reconciliation...

Application Deadline: None

Client Service Associate - Brokerage/Asset Mgmt

DM Stone JobsInBrokerage.com - San Diego, CA

The primary function of the CSA is to 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 th...

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 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

Compliance Analyst - Asset Management

DM Stone JobsInBrokerage.com - San Francisco, CA

This position acts as an intermediary between Portfolio Management, Trading, Operations to ensure that orders and executions are compliant with all investment restrictions and the firm's applicable policies and procedures. Work within the investment compliance team to electronically (via Bloomberg AIM) monitor compliance with all regulatory requirements and the investment guidelines of the fi...

Application Deadline: None

Controller - Venture Capital Firm (CPA)

DM Stone JobsInBrokerage.com - San Francisco, CA

Prestigious VC firm is looking for an experienced Controller with public accounting (tax or audit) and financial industry experience (VC, PE or Hedge Fund). Must be hands on and have a good personality to fit a small firm environment. Generous compensation package. More info available.

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

Business Analyst - Banking

DM Stone JobsInBrokerage.com - San Francisco, CA

The Business Analyst is responsible for identifying business requirements through a use case driven approach. The BA shall 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 t...

Application Deadline: None