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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

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

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

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

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

Registered Client Service Associate

DM Stone JobsInBrokerage.com - Salt Lake City, UT

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

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

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