Jobs at DM Stone JobsInBrokerage.com - Page 4

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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

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

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

EXECUTIVE ASSISTANT - JAPANESE SPEAKING

DM Stone JobsInBrokerage.com - San Francisco, CA

BILINGUAL JAPANESE SPEAKING EA FOR SF FINANCIAL INSTITUTION DUTIES: Support Executive (e.g. writing up a thank you letter in Japanese in Tokyo, etc.) Support any executive-level visitors who require additional local support Answer complex inquiries which require thorough knowledge of the division's or group's policies and procedures. Type an review documents and drafts and review for co...

Application Deadline: None

ADMINISTRATIVE AND CLERICAL POSITIONS

DM Stone JobsInBrokerage.com - Foster City, CA

We have several contract positions for Administrative Assistants, Sr Administrative Assistants and Clerical individuals. Our clients who are Fiancial Services and non-Financial Services always have on-going assignments, long term and short term. * Strong computer skills; MS Word, Excel, Powerpoint, Access * Experience working in a corporate environment * Excellent communication skills Locati...

Application Deadline: None

HEAD OF COMPLIANCE - MANDARIN SPEAKING

DM Stone JobsInBrokerage.com - San Francisco, CA

Global bank located downtown San Francisco is looking for Compliance Manager to head their team. The Head of Compliance Department will be responsible in supervising lower level compliance officers, and researching and analyzing pending/new/changed regulations, including related to the Dodd-Frank Act, and determining new requirements necessary. You will participate in business-as-usual compl...

Application Deadline: None

AML INVESTIGATIVE OPERATIONS DIRECTOR

DM Stone JobsInBrokerage.com - San Francisco, CA

The Investigative Operations role within Anti-Money Laundering Operations is tasked with producing financial intelligence through the detection, investigation and reporting of suspicious activity to the Financial Crimes Enforcement Network. You will lead a growing team of Investigative Operations and Special Investigation Managers and report directly to the Vice President and Head of AML Oper...

Application Deadline: None

DATA ANALYST - GAMING INDUSTRY

DM Stone JobsInBrokerage.com - San Francisco, CA

As a data analyst, you will combine your strategic and analytical skill sets to develop, test, and analyze hypotheses that will have a far-reaching impact on the success of the company. You'll communicate these insights to key executive stakeholders and play an influential part in establishing this core analytics competency. Responsibilities: Work closely with studio heads to identify key q...

Application Deadline: None

RELATIONSHIP MANAGER - BANKING -WHO SPEAKS CHINESE

DM Stone JobsInBrokerage.com - San Francisco, CA

Relationship Manager is needed to develop and manage a portfolio of commercial real estate loans; international business and other commercial loans. You will assess credit proposals, perform in-depth due diligence and compliance analysis in order to write up credit recommendation reports You will also assist the section head in supervising junior officers of the team. REQUIREMENTS: Master ...

Application Deadline: None

Corporate Paralegal - Financial Services

DM Stone JobsInBrokerage.com - San Mateo, CA

The Paralegal primarily oversees and manages corporate governance and securities law formalities for certain of the firm's mutual funds. This position works with trustee and officers, all levels of company staff and management, both inside and outside legal counsel, and other fund service providers. The Paralegal regularly resolves, or recommends resolutions to, compliance and policy issues rel...

Application Deadline: None

SENIOR COMPLIANCE OFFICER - ASSET MANAGEMENT

DM Stone JobsInBrokerage.com - Orinda, CA

Complete SEC, CFTC and all other regulatory obligations and filings including Form ADV and Form PF Administer the firm's AML and KYC program. Serve as the AML and Anti-Fraud Officer and liaise with Client Services Perform Proxy Voting testing and liaise with IM corporate governance teams Responsible for Code of Ethics administration including personal securities trading, restricted list, ...

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