Jobs at DM Stone JobsInBrokerage.com - Page 3

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EXECUTIVE DIRECTOR - RISK MANAGEMENT ANALYTICS

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for new business development with Asset Managers and Hedge Funds within the firm's Americas Sales Team. The team is responsible for all Risk Management Analytics products. Use your knowledge of the investment management process, financial markets (global equities, global fixed income, and alternative investments), performance attribution, regulation, and risk methodolo...

Application Deadline: None

COMPLIANCE ANALYST - CONTRACT

DM Stone JobsInBrokerage.com - Orinda, CA

3 Month Contract for a Compliance Professional who has experience in Asset Management. You will assist with monitoring and testing programs as well as certain compliance administration processes. Assist with forensic testing, monitoring, annual assessment and ongoing regulatory requirements. Liaise with investment teams, research, models, risk management, trading and operations. Assist with...

Application Deadline: None

SR ADMINISTRATIVE ASSISTANT

DM Stone JobsInBrokerage.com - San Francisco, CA

In this role, you will be responsible for traditional calendaring, scheduling, expense reporting, heavy and constantly changing domestic and international travel arrangements. You will be responsible for email correspondence and the ability to respond to them accordingly. Candidates must be extremely organized and detailed - must have a solid work history. Must be comfortable working in a...

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

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

CLIENT SERVICE ASSOCIATE - SERIES 7 REQUIRED

DM Stone JobsInBrokerage.com - Santa Barbara, 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

Financial Consultant - Corporate Services

DM Stone JobsInBrokerage.com - San Francisco, CA

The Corporate Services Financial Consultant is responsible for cultivating relationships within the Section 16/Officer/Director Corporate client base in an attempt to drive increased asset aggregation, proceeds retention, and client satisfaction through relationship building activities and the sale of appropriate financial products and services. Successful candidates will possess a comprehensiv...

Application Deadline: None

Licensed Branch Operations Manager - Brokerage

DM Stone JobsInBrokerage.com - Pleasanton, CA

National brokerage firm is seeking an experienced branch operations/compliance manager for a highly active branch in Pleasanton, CA (requires car). Requires FINRA licenses 7/66/9/10. Will be training, mentoring and supervising support staff, running staff meetings, working with financial advisors to resolve issues, principaling trades, working with systems (should be tech savvy), doing performa...

Application Deadline: None