Jobs at DM Stone JobsInBrokerage.com

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Investor Relations/Capital Raising Manage - Private Equity Sales

DM Stone JobsInBrokerage.com - San Francisco, CA

Our client, a major international private equity firm, is seeking an experienced financial sales and service rep with a strong rolodex in the institutional and HNW space. Book not required. Will need to get licensed. This position will pay base plus bonus, with great benefits. Will be the SF rep for the US firm. Great oppty! More below: Based in San Francisco, the successful candidate will be ...

Application Deadline: None

ASSISTANT - RESEARCH AND ADMIN

DM Stone JobsInBrokerage.com - Orinda, CA

Successful Financial Asset Management firm is looking for an Assistant to provide both Administrative and Research support. You will be working with the Research Assistants/Team performing administrative projects for the Operations team. They are looking for someone who is reliable, can work well independenlty as well as with the teams. Have the ability to multi-task and manage deadlines an...

Application Deadline: None

CONTRACT RECRUITER

DM Stone JobsInBrokerage.com - San Francisco, CA

You will partner with hiring managers to source, attract and hire qualified candidates to our organization. The hours for this position are approximately 8:30 a.m. to 5:30 p.m. DUTIES Develop and implement strategic initiatives for recruiting diverse talent in a multi-site organization. Partner with HR Director, HR Managers and hiring managers to forecast and develop plans for key staffing...

Application Deadline: None

PORTFOLIO ASSISTANT

DM Stone JobsInBrokerage.com - San Francisco, CA

International Investment Management firm in San Francisco is looking for an individual to support their Equity Team. You will support a faced paced group of investment professionals including providing general administrative support, managing complex schedules, offering support and research for various projects, and liaising with internal business units and external parties. DUTIES: Compile ...

Application Deadline: None

Data Analyst with SQL and Investment Industry Experience

DM Stone JobsInBrokerage.com - San Francisco, CA

Prestigious financial institution is seeking a senior data analyst with strong SQL query skills (will be tested) and experience in financial services operations. Products include fixed income, options, equities and FX. Contract may last up to one year.

Application Deadline: None

FRAUD AML - COMPLIANCE

DM Stone JobsInBrokerage.com - San Jose, CA

Responsible for proactively identifying and evaluating risks and controls, completing regulatory compliance analysis and research, identifying issues and/or areas for improvement in efficiency or effectiveness, and working with management in developing actions plans to ensure risks are effectively mitigated and issues are corrected. This role works with broad discretion, as assignments may be...

Application Deadline: None

Quality Control Associate - Investment Operations

DM Stone JobsInBrokerage.com - San Francisco, CA

Quality Control Associate - Investment Operations - Contract to possible hire (Non-exempt position) As part of the Operations Team, the QC Specialist position will be accountable for validating all data required to open and maintain client accounts in Private Wealth Mgmt, including data required under the Know Your Client Program (KYC) for both prospective and existing PWM clients. This positi...

Application Deadline: None

Tech Writer - Documentation of Financial Software

DM Stone JobsInBrokerage.com - Palo Alto, CA

Successful investment advisory firm is seeking a strong writer to document software development in a financial services environment. Does not need to read code, will be working with an engineer to translate into layman's language. However, exposure to IT development as well as to investment advisory compliance would both be a huge plus. Strong background in business writing required. Project sh...

Application Deadline: None

Brokerage Operations Supervisor

DM Stone JobsInBrokerage.com - San Jose, CA

Our client, a successful broker-dealer in the Silicon Valley area, is looking for an operations supervisor. Series 7 & 63 required, as well as 5-10 years of brokerage operations experience (or more), including some staff supervision. More info available.

Application Deadline: None

PROJECT MANAGEMENT MANAGER

DM Stone JobsInBrokerage.com - San Ramon, CA

Responsible for managing large, complex, cross-enterprise projects related to technology, products, processes and/or procedures. Interact with senior management throughout the Bank to communicate, create alignment, obtain decisions, and/or coordinate activities to ensure that project objectives are met. Drive and deliver projects, including process improvement, technology, remediation, and o...

Application Deadline: None

CLIENT SERVICE ASSOCIATE WITH SERIES 7 AND 63

DM Stone JobsInBrokerage.com - Santa Barbara, CA

You will provide a wide range of sales, service, administrative and relationship management support to assigned Wealth Advisors and Investment Professionals across Registered Investment (RIA), Broker-Dealer and Trust or team of same and to be the first point of contact for clients or prospects. Act as the liaison between the investment professional/client and the PWM middle office functions/op...

Application Deadline: None

FUND ACCOUNTING - HEDGE FUND

DM Stone JobsInBrokerage.com - San Francisco, CA

Global Investment Firm based in San Francisco is looking for an experienced Fund Accountant You will be responsible for working with the fund accounting team in the daily and monthly Net Asset Value process including: Assist with the annual audit and K1 preparation for the hedge funds Oversee/review account closings and partnership allocations prepared by administrators Prepare thorough sh...

Application Deadline: None

Capital Markets Trade Support B/A with MBS/TBA experience

DM Stone JobsInBrokerage.com - San Francisco, CA

Business Analyst. This position can be in SF, LA or NYC. It is contract to direct. It requires experience with TBA trades. Our client, a major financial institution, needs someone with Middle and Back Office Securities experience in Capital Markets and/or Treasury. The person should have a good grasp of technology but not be an IT professional. They need project management/Business Analysis bac...

Application Deadline: None

COMPLIANCE ASSOCIATE

DM Stone JobsInBrokerage.com - San Francisco, CA

Global Investment Firm based in SF is looking for a Compliance Associate to assist with daily compliance management and oversight for hedge fund and alternative products. You will monitor and manage securities filings and other reports required of registered investment advisers. Be involved in monitoring compliance with the firm?s policies and procedures. This will require daily interaction...

Application Deadline: None

Salaried Financial Consultants - No Book Required

DM Stone JobsInBrokerage.com - San Francisco, CA

Job Description: Openings in Cupertino/SJ and Palo Alto (locals only, please) Our client, a prominent national brokerage firm, is currently seeking Series 7 and 66 licensed Financial Consultants. As a Financial 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 build relatio...

Application Deadline: None