DM Stone JobsInBrokeragecom Jobs

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Senior Equity Portfolio Manager (Path to CIO)

DM Stone - Walnut Creek, CA

Senior Portfolio Manager (path to CIO/Director of Research and Portfolio Management) Our client is an established and growing Wealth Management firm with an opening for a Senior Portfolio Manager. This is an opportunity for an intelligent, positive and responsible person with high initiative, strong communication skills, a meticulous attention to detail and a desire to learn. Leadership skills ...


DM Stone - San Francisco, CA

Investment Advisory firm is lookoing a Senior Administrative Assistant to support their Investment Team. They are looking for someone who has strong experience supporting a team of senior managers and executives with global responsibilities in a fast-paced firm. You should have experience working in a financial services company. DUTIES: Proactively manage calendar and travel schedules of m...


DM Stone - San Diego, CA

The Regional Sales Manager will work closely with the Executive Vice President of this 30 year old third party consumer loan servicer. You will be responsible for expanding client base in the western United States. The goal of their sales organization is to promote and sell services through investment banks, regional banks, credit unions, finance companies, originators, and trade schools. ...


DM Stone - Santa Clara, CA

This is a hands-on role doing audit work including branch visits. Responsible for the development and execution of risk based audit schedule. Work collaboratively and strategically with executive management and Supervisory Committee to identify, quantify and prioritize key company risks. Audit plan includes financial, operational, credit, IT, cyber security and fraud audit programs. Issu...


DM Stone - San Francisco, CA

Our client is looking for a Financial Intelligence Analyst to prepare Currency Transaction Reports (CTRs) and Designation of Exemption Persons (DOEPs) to ensure timely filings as required per government regulation (FinCEN). DUTIES: Responsible for the daily review, maintenance, and accurate filing of CTRs enterprise-wide Assist branch personnel with CTR inquiries Perform supervisory reviews...


DM Stone - Berkeley, CA

Our client is looking for a business analyst to help with the detailed conceptual design of a wealth portfolio management system (e.g. drift analysis, trading, performance measurement). Primary responsibility will be drafting use cases & wireframes for new functionality to be added to the system (e.g. consideration of tax impacts during drift analysis). Help design new workflows for existin...


DM Stone - Berkeley, CA

THIS IS A 3 TO 4+ CONTRACT Individual should have strong communication & organization skills. You will be speaking with clients; creating PowerPoint presentations and scheduling meetings. ADDITIONAL INFORMATION UPON REQUEST SEND RESUME AS AN MS WORD ATTACHMENT TO


DM Stone - San Ramon, CA

The group assesses the effectiveness of the permanent control function (i.e., first and second lines of defense) to identify, measure, monitor, and control risks. You will be responsible for day to day audit delivery for audit assignments for the area of assigned audit responsibilities. DUTIES: Lead large and complicated, integrated audits as the Head of Assignment. Responsible for the relat...


DM Stone - Santa Clara, CA

Responsible for supporting asset/liability management systems, investment portfolio records, profitability measurement systems, the budget process and the financial analytical process. DUTIES: Assist in maintaining the Asset/Liability Management system. Maintain investment records and perform due diligence on broker/dealers. Assist in preparing projections for strategic planning. Maintain...


DM Stone - San Francisco, CA

You will be supporting the Compliance Department, which includes the Chief Compliance Officer, Compliance Officers and Compliance Analysts. You will be responsible for all administrative tasks related to the Compliance function in addition to assisting with the administration of the firm??s Code of Ethics. DUTIES: ?X Edit and proofread compliance reports & documents Prepare and handle cor...


DM Stone - San Francisco, CA

Private investment firm in San Francisco is looking for a Planning Analyst to be responsible for supporting the Financial Planning team in a wide range of projects and analyses. The team manages financial reporting, forecasting, and portfolio analysis and covers a variety of ad hoc risk and performance analyses. DUTIES: Analyze data to provide high level takeaways and proposals. Work close...


DM Stone - San Francisco, CA

San Francisco based Investment Management firm is looking for a GL Accountant for a contract assignment - this position does have the possibility to be a temp to hire as well. Key Responsibilities Responsible for processing vendor payments and T&E reimbursements Prepare expense analysis and analyze monthly variances Prepare journal entries to record accruals Prepare account reconciliation...


DM Stone - San Francisco, CA

You will be responsible for a wide variety of supervisory, compliance, and risk functions as well as accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, and company policies, and other regulations. DUTIES and RESPONSIBILITIES: Surveillance and Supervision Primar...


DM Stone - San Francisco, CA

Hong Kong bank located in San Francisco is looking for a Compliance Officer. DUTIES: Be responsible for developing, implementing and administering all aspects of the Bank's Compliance Management Program include Installing new policy; review and revise existing policy and procedures due to regulation changes as required by regulatory authorities. Develop, coordinate, and facilitates training...


DM Stone - San Francisco, CA

The Legal Executive Assistant role will perform diverse supportive administrative duties involving high-level contacts and exposure to sensitive information necessitating considerable use of tact, diplomacy, organizational skills, discretion and judgment. You will interact with employees at all levels of the organization and including interactions with the Board of Directors and Executive Man...