Jobs at DM Stone JobsInBrokerage.com - Page 2

70 job openings

Save This Search

Refine Your Search

Show more Show less
Displaying results 16 - 30 of 70

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

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

Product Manager - Algorithmic Trading

DM Stone JobsInBrokerage.com - San Francisco, CA

The Product Manager will perform leadership and coordination activities for the development, design, implementation, operation of projects in the trading product programme from definition though to implementation and operation, ensuring that projects in the trading product programme are executed using agile methodologies and according to the organization's policies and procedures. The Product ...

Application Deadline: None

Quantitative Analyst - Artificial Intelligence (Finance)

DM Stone JobsInBrokerage.com - San Francisco, CA

Quantitative Analyst job description To work with a small team of skilled quantitative developers in our San Francisco office to help develop analysis and new approaches for our Artificial Intelligence and machine learning platform. Knowledge and skill requirements ? Proven math and statistics skills (backed by a degree in Quantitative Methods, Computer Sciences, Math, Physics) ? Practical ex...

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

Compliance Analyst - Asset Management

DM Stone JobsInBrokerage.com - San Francisco, CA

Compliance Analyst Prestigious asset mgmt firm in SF is seeking to hire an investment adviser/investment company compliance professional. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO). The successful candidate will be required to perform a wide range of compliance functions that may include, but not be limited to: ? Assisting in the maintenance of a compli...

Application Deadline: None

LEGAL ADMINISTRATIVE ASSISTANT WITH FINANCE INDUSTRY EXPERIENCE

DM Stone JobsInBrokerage.com - San Francisco, CA

Prestigious Investment Management firm located downtown San Francisco is looking for an experienced Legal Admin Assistant. The Administrative Assistant supports the Legal Department, which includes 5 Attorneys and 3 Paralegals. DUTIES: Edit and proofread legal documents, including contracts, SEC filings, corporate charters, minutes, compliance policies and procedures, compliance certificatio...

Application Deadline: None

COMMISSION ANALYST - TEMP TO HIRE

DM Stone JobsInBrokerage.com - Brisbane, CA

Looking for someone who will work with the sales team on their comp plans and calculate commissions. This person will also work with the finance team to generate reports. We need someone who has work experience using Salesforce and Xactly. DUTIES: Calculates commission/incentive award payments to sales personnel based on commission plan provisions. Performs staff support activities needed f...

Application Deadline: None

SR ADMINISTRATIVE ASSISTANT- CONTRACT

DM Stone JobsInBrokerage.com - Foster City, CA

You will be responsible for supporting Technology Business Management activities, and more specifically team administration, scheduling and general project coordination for key initiatives. Provide administrative support to the management team within the Technology Business Management organization as well as general assistance to team members. Coordinating and maintaining calendars including...

Application Deadline: None

CLIENT SERVICE ASSOCIATE WITH SERIES 7 AND 63

DM Stone JobsInBrokerage.com - Century City, 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

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

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

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