Most Recent DM Stone JobsInBrokerage.com Job Listings (Page 4)

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

Senior Payroll/Benefits Administrator - Marina Del Rey

DM Stone JobsInBrokerage.com - Marina Del Rey, CA
Our client, a premier investment firm, is seeking an experienced Senior Payroll Administrator with benefits administration experience. Under the direction of the V.P. of Human Resources, the position is primarily responsible for processing a bi-weekly, and monthly payroll, reviewing existing processes, procedures and recommending improvements to drive efficiency, sustain accuracy of internal co...
Application Deadline: None
DM Stone JobsInBrokerage.com

Senior Compliance Professional - Investment Mgmt

DM Stone JobsInBrokerage.com - San Francisco, CA
A prestigious business strategy and regulatory consulting firm, with offices nation-wide, is seeking a senior compliance professional for its San Francisco office. The Firm's clients are primarily registered investment advisers including, but not limited to, private equity firms, hedge funds, and venture capital firms. The successful candidate will have approximately three to five years of rele...
Application Deadline: None
DM Stone JobsInBrokerage.com

Successful Private Wealth Advisor

DM Stone JobsInBrokerage.com - Palo Alto, CA
Major bank is seeking successful private wealth advisor. Openings in San Jose and Palo Alto. Must have strong experience as a private client advisor with one of the major private WM groups, ideally a national institution. Base salary plus substantial bonus potential. Must be domiciled and have their existing clients in the SF Bay Area, be strong in sales and have some of the analytical skills w...
Application Deadline: None
DM Stone JobsInBrokerage.com

Salaried Financial Consultant - No Book Required

DM Stone JobsInBrokerage.com - Portland, OR
Job Description: Our client, a prominent national brokerage firm, is currently seeking a Series 7 and 63 licensed Investment Consultant with 2-3 years successful track record. Downtown Portland, OR location. 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...
Application Deadline: None
DM Stone JobsInBrokerage.com

Regional Financial Advisor

DM Stone JobsInBrokerage.com - San Diego, CA
Position Summary The Regional Financial Advisor (RFA) is dedicated to increasing the number of clients and assets under management. The candidate will initially work under the mentoring of experienced Advisors to hone effective presentation skills, master our offerings spanning tax, estate planning and asset management, sharpen consultative selling techniques, and develop best-in-class client s...
Application Deadline: None
DM Stone JobsInBrokerage.com

Operational Risk/Compliance - Major Bank - LA/SD/Orange County

DM Stone JobsInBrokerage.com - Los Angeles, CA
This is a temp-to-hire role, paying $40/hour or so. If it goes perm it would pay around $75-90K. It is currently not scheduled to start until mid-2014, however. SR OPERATIONS RISK ANALYST FOR GLOBAL TREASURY MANAGEMENT OUR CLIENT IS FLEXIBLE W/WORKING LOCATION: OPTIONS ARE SAN DIEGO, BREA, IRVINE AND LA You will support the Business Unit Risk Manger in the identification, assessment and moni...
Application Deadline: None
DM Stone JobsInBrokerage.com

Investment Data Analyst

DM Stone JobsInBrokerage.com - San Francisco, CA
Our client is a prestigious hedge fund in SF. Their proprietary investment technology models the capital structures of thousands of firms globally. They are seeking an individual with strong analytic skills and financial acumen to ensure that capital structure data is correctly represented in their models. This role includes oversight of automated financial statement processing routines, cross-...
Application Deadline: None
DM Stone JobsInBrokerage.com

Licensed Branch Operations Manager

DM Stone JobsInBrokerage.com - Walnut Creek, CA
National brokerage firm is seeking an experienced branch operations/compliance manager for a highly active branch (near BART in Walnut Creek). Requires FINRA licenses 7/66/9/10. Will be training, mentoring and supervising support staff (around 30), running staff meetings, working with financial advisors to resolve issues (total around 90), principaling trades, working with systems (should be te...
Application Deadline: None
DM Stone JobsInBrokerage.com

RISK MANAGER WHO WRITES AND SPEAKS CHINESE

DM Stone JobsInBrokerage.com - San Francisco, CA
A well-established Chinese commercial bank who works in trade finance, remittance, consumer and commercial lending is looking for a Risk Mgr who writes and speaks Chinese. DUTIES: Assist in the assessment of risk and management of the Bank??s loan portfolio by reviewing and monitoring the credit proposals of the loan officers, and to conduct policy adjustment where appropriate. You will be...
Application Deadline: None
DM Stone JobsInBrokerage.com

FUND ACCOUNTANT

DM Stone JobsInBrokerage.com - San Francisco, CA
Your role will encompass all facets of the calculation of net asset values on a variety of complex hedge funds. Working closely with the senior fund accountants and account managers, your responsibilities will include; Job Functions Performing the administration of and any services pursuant to administration agreements in respect of a portfolio of hedge funds; Assisting with the preparation ...
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...
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...
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...
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. Review and investigate alerts for potential suspicious activity. Research and analysis ...
Application Deadline: None
DM Stone JobsInBrokerage.com

DUE DILIGENCE MANAGER - ALTERNATIVE AND EQUITY INVESTMENTS

DM Stone JobsInBrokerage.com - San Francisco, CA
The role is responsible for the development and management of the this bank's Secrecy Act/Anti-Money Laundering (BSA/AML) Special Client Due Diligence program. You will be responsible for building a team which will perform appropriate due diligence on special clients with a particular focus on private equity, venture capital, and hedge funds. This will include risk ranking prospects and ass...
Application Deadline: None
Displaying results 31 - 45 of 70