Jobs at DM Stone JobsInBrokerage.com - Page 3

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BUSINESS AND DATA ANALYST - WEALTH MGMT

DM Stone JobsInBrokerage.com - San Francisco, CA

BUSINESS ANALYST - INVESTMENT SERVICES EXPERIENCE You will support the development and implementation of Wealth Management??s technology roadmap. This role has a key responsibility to ensure that client's experience within Wealth Management maintains the highest standards You will work with Subject Matter Experts from the user community to determine data requirements for Portfolio Manageme...

Application Deadline: None

SR. FINANCIAL ANALYST - MARKETING

DM Stone JobsInBrokerage.com - Redwood City, CA

This role reports into the Manager of FP&A and will provide an excellent opportunity to be a collaborative business partner and trusted advisor for the senior management team of Chief Marketing Officer (CMO) Organization which includes both the GLOBAL MARKETING ORGANIZATION. This group is responsible for planning and execution of long term strategic marketing initiatives for all franchises acr...

Application Deadline: None

Licensed Operations Manager - Brokerage

DM Stone JobsInBrokerage.com - New York, NY

Prestigious financial institution is seeking an experience brokerage operations specialist with supervisory experience and securities licenses - must have Series 7 and either Series 24 or Series 9/10. Start time is around 7:30 or 8:00 am. Will need to approve new accounts, disbursements, and account maintenance items. Must pass background check, including credit. More info available. Pays aroun...

Application Deadline: None

BANKING POSITION

DM Stone JobsInBrokerage.com - Livermore, CA

The Preferred Banker position is responsible for demonstrating the banks core values in all actions to provide an excellent customer experience. This position is expected to provide quality customer service across bank products as well as maintain branch operations. DUTIES AND RESPONSIBILITIES: You will demonstrate thorough knowledge of all branch ops and banking policies and procedures. ...

Application Deadline: None

SR ADMINISTRATIVE ASSISTANT - MARKET HOURS

DM Stone JobsInBrokerage.com - San Francisco, CA

Financial Services firm is looking for an assistant with exceptional Excel skills to support 2 teams. RESPONSIBILITIES: Maintain busy calendars, scheduling frequent meetings and conference calls Organize registration for conferences Assist with updates and formatting of investment spreadsheet models and various complex Excel spreadsheets (including macro-driven files) Update calendar for ...

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

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

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

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