Jobs at DM Stone JobsInBrokerage.com - Page 2

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ADMINISTRATIVE ASSISTANT

DM Stone JobsInBrokerage.com - Foster City, CA

You will provide administrative support to the firm's Global Solutions & Innovation Marketing organization. Responsibilities: Manage assigned calendars including accepting meetings, resolving/rescheduling conflicts Manage logistics for external and internal meetings including sending invites, booking conference rooms, ordering catering, badge requests for external parties, etc. Manage tra...

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

Sr Middle Office Operations Specialist

DM Stone JobsInBrokerage.com - San Francisco, CA

Tasks: - Be point person for back office relationship. - Work closely with fund accounting for TIKs, client gifting, and cash flows. - Set up new accounts in order management system and put them in proper trading groups (OMS) - Set up new securities in OMS - Set up new brokers (execution and directed) - Liaise with brokers to get new algos and updates in the OMS - Close and confirm compl...

Application Deadline: None

SR. DUE DILIGENCE OPERATIONS MANAGER - AML

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for a variety of customer due diligence, enhanced due diligence and know your customer (KYC) activities in order to assess both inherent and residual risks related to the Bank's customer set. The Due Diligence Operations Sr. Manager will lead a growing team of Due Diligence Investigators and Analysts. DUTIES: Contribute as a key member of the overall AML Operations ...

Application Deadline: None

BSA/AML CTR ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA

Prepare Currency Transaction Reports and Designation of Exemption Persons to ensure timely filings as required per government regulation (FinCEN). Responsible for the daily review, maintenance, and accurate filing of all CTRs bankwide. Assist branch personnel with CTR inquiries and issues. Perform quality control reviews on CTRs prepared by bankers. Identify customers who are eligible for C...

Application Deadline: None

BSA/AML BUSINESS ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for leading business requirements definition to successful completion, including the discovery, analysis and documentation of business requirements, process flows, use cases, test and training plans within the bank's BSA/AML department. You will also be responsible for investigating data quality related issues, and providing resolutions. Responsibilities: Improve BSA/A...

Application Deadline: None

Corporate Accountant - Investment Mgmt Industry Experience

DM Stone JobsInBrokerage.com - San Francisco, CA

Premier investment firm in San Francisco is seeking a corporate accountant for general ledger, receivables, bank reconciliation and year-end financial reporting projects, plus investment fee billing calcs/collection. Prefer financial services industry experience. Must have strong references and pass a background check. More info available.

Application Deadline: None

Paralegal - Investment Industry (Market Hours)

DM Stone JobsInBrokerage.com - San Francisco, CA

Prestigious hedge fund in SF financial district is looking for an experienced Paralegal. Start time will be between 5:30 and 7am (open, but no later). Duties: Support a team of lawyers based primarily in San Francisco and New York Maintain files of fund documents, including private placement memoranda, organizational documents, investment management agreements and related documents Draft ...

Application Deadline: None

Salaried Financial Consultant - No Book Required

DM Stone JobsInBrokerage.com - Santa Barbara, CA

Our client, a prominent national brokerage firm, is currently seeking a Series 7 and 63 licensed Investment Consultant. As an Investment Consultant, you will assess, assist, and advise clients as they choose the services best suited for their needs. You will develop relationships with existing clients and build relationships with new clients. Your goal is to demonstrate to clients and prospect...

Application Deadline: None

RECEPTIONIST/ADMINISTRATIVE ASSISTANT

DM Stone JobsInBrokerage.com - San Francisco, CA

Real Estate Investment Banking Firm located downtown SF is looking for a Receptionist DUTIES: Answer phones and greet visitors Assistant to 9 Analysts and 1 Vice President (preparing and tracking expense reports and travel arrangements as required) Make coffee, stock kitchen and loading and emptying dishwasher each day Check and clean up kitchen throughout the day Pick-up and distribute ...

Application Deadline: None

FIRST YEAR ASSOCIATE - THIRD PARTY ATTESTATION SERVICES

DM Stone JobsInBrokerage.com - San Francisco, CA

Global Accounting firm in SF is looking for an a first year associate to join their Third Party Attestation Services team. You will be responsible for coordinating the day-to-day "in-charge" duties of planning, fieldwork and "wrap-up" to include the preparation of third party attestation reports, applying most areas of the governing standard as necessary and documenting, validating, testing an...

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

EXECUTIVE ASSISTANT

DM Stone JobsInBrokerage.com - Los Angeles, CA

Executive Assistant to the Managing Director of the Investment Banking unit of this financial institution. This is a new and exciting group and they are looking for an experienced, smart, proactive individual. You will also coordinate and manage assigned projects for the business under the direction of division head or CFO. Heavy calendaring Strong attention to detail Organization skills ...

Application Deadline: None

Salaried Financial Consultant - No Book Required

DM Stone JobsInBrokerage.com - Cupertino, CA

Job Description: Our client, a prominent national brokerage firm, is currently seeking a Series 7 and 63 licensed Financial Consultant with 2-3 years successful track record. As a Financial Consultant, you will assess, assist, and advise clients as they choose the services best suited for their needs. You will develop relationships with existing clients and build relationships with new clien...

Application Deadline: None

VP Compliance - Investment Management

DM Stone JobsInBrokerage.com - San Mateo, CA

Prestigious asset mgmt. firm is seeking a VP Compliance. A minimum of 7 to 10 years of experience of retail compliance, separate managed account compliance, or investment management compliance is required. Must have a familiarity and working knowledge of the following: updating compliance policies and procedures, working with marketing on direct mail campaigns and advertising, strong interperso...

Application Deadline: None