Most Recent DM Stone JobsInBrokerage.com Job Listings (Page 3)

Displaying results 31 - 45 of 70
DM Stone JobsInBrokerage.com

RELATIONSHIP MANAGER WHO SPEAKS AND WRITES CHINESE

DM Stone JobsInBrokerage.com - San Francisco, CA
A well-established Chinese commercial bank located who specializes in trade finance, remittance, consumer and commercial lending is looking for a Relationship Manager who writes and speaks Chinese. DUTIES: Develop and manage a portfolio of commercial real estate loans and other commercial loans by analyzing corporate financial status. You will assess credit proposals, perform in-depth due d...
Posted Jan 31, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

Senior Compliance Manager - RIA

DM Stone JobsInBrokerage.com - Orinda, CA
Senior Compliance Manager Seeking an experienced compliance officer at a global investment management firm. The candidate will be responsible for administering Compliance processes across firm's various entities ?X Administer global code of ethics program and personal securities trading / access persons / global restrict lists in our compliance tool ?V Manage all aspects of the program; train ...
Posted Jan 24, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

Operations Manager - Broker-Dealer

DM Stone JobsInBrokerage.com - Palo Alto, CA
Well established regional broker-dealer on the SF Peninsula is seeking a licensed operations manager (FINRA Series 7/24/63) to manage operations (fully disclosed), relations with reps, and eventually may involve other functions. Position will pay $100K. Need strong people skills, ops management skills, etc. Solid experience with good firms and strong references. Locals only please. Resumes to ...
Posted Jan 23, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

COMPLIANCE MANAGER

DM Stone JobsInBrokerage.com - Orinda, CA
Experienced compliance officer at a investment management firm who comes from the Investment Advisor side of the business. Looking for someone who knows MF entities; portfolio compliance; personal trading compliance and a solid understanding from the advisor side. Administer global code of ethics program and personal securities trading / access persons / global restrict lists in our compliance...
Posted Jan 18, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

ACCOUNTING MANAGER-WEALTH MANAGEMENT

DM Stone JobsInBrokerage.com - San Francisco, CA
Our client is a global multi-family office/merchant bank, representing a group of families for investment management, trust & estate, philanthropy, insurance, lending, and a variety of family office services. OPEN POSITION: RESPONSIBILITIES Establish and own the client accounting function which will be utilized by a subset of the firm's high net worth clients, typically with >$100 million...
Posted Jan 16, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

SUSPICIOUS ACTIVITY MONITORING (SAM) MANAGER

DM Stone JobsInBrokerage.com - San Francisco, CA
A Suspicious Activity Monitoring (SAM) Manager is needed to manage suspicious activity alerts and reviews. RESPONSIBILITIES AND DUTIES Manage SAM workload and assignments Conduct quality control reviews and identify alerts that require referral to SAM investigations Manage SAM deadlines and projects Identify improvement areas to reduce risk and errors Respond to internal suspicious acti...
Posted Jan 16, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

AML COMPLIANCE ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA
An AML Compliance Analyst is needed to assist with internal audits; conduct quality control on areas of the BSA/AML gorup such as SAM reporting, CDD and OFAC and to assist with the BSA/AML risk assessments. DUTIES: Conduct scheduled quality control reviews on all BSA/AML monitoring areas completed by the BSA/AML Operations staff Partner with various business units to conduct established peri...
Posted Jan 16, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

BSA/AML OPERATIONS MANAGER

DM Stone JobsInBrokerage.com - San Francisco, CA
A BSA/AML Operations Manager is needed to provide oversight of all BSA/AML Operations; including suspicious activity monitoring, customer identification program (CIP), enhanced due diligence (EDD), and customer due diligence (CDD). DUTIES: CDD and suspicious activity monitoring procedures Oversight of all CDD and suspicious activity investigations and quality control Ensure compliance with...
Posted Jan 16, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

FINANCIAL ANALYST-WEALTH MANAGEMENT

DM Stone JobsInBrokerage.com - San Francisco, CA
Our client is a global multi-family office/merchant bank, representing a group of families for investment management, trust & estate, philanthropy, insurance, lending, and a variety of family office services. RESPONSIBILITIES Support investment professionals with market, asset class, and security analysis Actively participate in trading execution and asset allocation adjustments Monitor cli...
Posted Jan 16, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

JR. CLIENT SERVICE OPERATIONS-WEALTH MANAGEMENT

DM Stone JobsInBrokerage.com - San Francisco, CA
Our client is a global multi-family office/merchant bank, representing a group of families for investment management, trust & estate, philanthropy, insurance, lending, and a variety of family office services. RESPONSIBILITIES You will be a critical component of the team who provide world?]class service to a group of ultra?]high net worth families Work directly with families on a variety of s...
Posted Jan 16, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

Compliance Analyst - Investment Mgmt, Legal Dept

DM Stone JobsInBrokerage.com - San Mateo, CA
The Compliance/Legal Analyst would be responsible for the advisory regulatory filings of the organization, including filing 20 Form ADVs, quarterly and annual CFTC filings, Form PF, Form D filings, and state notice filings. This would involve the high-level oversight of the regulatory filing process, creation and drafting of practice notes and procedures, and independent analysis of legal issue...
Posted Jan 14, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

Private Bank Compliance Manager

DM Stone JobsInBrokerage.com - San Jose, CA
Our client is a major bank. Private Bank Compliance Manager This is a critical position that supports the Private Bank. The Private Bank is a strategic play that enables the Commercial Bank to develop deeper and stronger relationships with the venture and technology community that we support. The Private Bank is an important initiative and is fairly new with significant growth and upside for ...
Posted Jan 10, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

BUSINESS ANALYST - WEALTH MANAGEMENT

DM Stone JobsInBrokerage.com - San Francisco, CA
As part of the Information Services team, the Wealth Management Technology Team drives the vision to create an industry leading, client-centric wealth technology experience. This group is looking for a "forward thinking, action oriented" individual to help drive the implementation and development of innovative, cutting-edge solutions. This position supports the development and implementation ...
Posted Jan 09, 2014   —   Application Deadline: None
DM Stone JobsInBrokerage.com

BSA/AML INVESTIGATOR (Suspicious Activity Monitoring)

DM Stone JobsInBrokerage.com - San Francisco, CA
A qualified Anti-Money Laundering Analyst is needed to investigate alerts for suspicious activity; conduct enhanced due diligence reviews and research; complete SARs in compliance with the Bank Secrecy Act; and respond to AML related inquiries regarding FinCEN 314(a), 314(b), and law enforcement requests. 50% High 1. Review and investigate alerts for potential suspicious activity. 20% Medium ...
Posted Dec 24, 2013   —   Application Deadline: None
DM Stone JobsInBrokerage.com

BSA/AML INVESTIGATOR - Enhanced Due Dilligence

DM Stone JobsInBrokerage.com - San Francisco, CA
A BSA/AML Investigator is needed to conduct Enhanced Due Diligence reviews on customers and prospective customers, and to conduct CIP verification as required by the USA PATRIOT Act. DUTIES: Research and analysis of individuals, entities or events through public records, media or other research tools. Conduct investigations for high risk customers and prospective customers within a stated ti...
Posted Dec 24, 2013   —   Application Deadline: None
Displaying results 31 - 45 of 70