Jobs at DM Stone JobsInBrokerage.com - Page 4

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FINANCIAL ANALYST

DM Stone JobsInBrokerage.com - San Francisco, CA

As a member of the finance team, you will develop financial models, improve operational processes, and support the financial reporting process. The team performs analyses to support strategic decisions, lead monthly forecasting and long term planning, and drive operational improvements by tracking performance. This is a hybrid role that supports both the strategic finance and accounting funct...

Application Deadline: None

AML POLICY AND PROGRAM DIRECTOR

DM Stone JobsInBrokerage.com - San Francisco, CA

You will be responsible for executing the BSA/AML risk assessment process, including gathering metrics, assessing control points, and drafting the narrative. Responsible for maintaining the transaction monitoring strategy and various risk assessment methodologies; including, but not limited to negative news screening, client risk ratings, country risk ratings, product/service ratings, and oth...

Application Deadline: None

AML ENTERPRISE RISK SPECIALIST

DM Stone JobsInBrokerage.com - San Francisco, CA

You will assist the BSA/AML Program and Policy office with Risk Assessments, new product and service reviews, overall strategy for key aspects of the BSA/AML program and policy, and assist business unit directors on an as-needed basis. DUTIES: Conduct and/or assist the BSA/AML Program and Policy Office with performing an in-depth analysis on various products, services, or third party relatio...

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

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

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

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

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

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