Jobs at DM Stone - Page 2

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Investment Account Quality Control Monitoring Specialist

DM Stone - San Francisco, CA

As part of the Private Wealth Mgmt Operations Team, the QC Specialist position will be accountable for validating all data required to open and maintain client accounts in PWM, including data required under the PWM "Know Your Client" Program (KYC) for both prospective and existing PWM clients. This position will work closely with Portfolio Managers, Client Service, Operations, Compliance and Ri...


DM Stone - San Francisco, CA

You will be responsible for the strategic direction of the WMG training programs and in partnership with the Bank's Corporate Learning and Development Department, provides direction and leadership in delivering strategic, comprehensive, and well-paced training programs for all divisions. DUTIES: Research, organize, document and prepare proposals for training programs and/or project plans. Ov...

Attorney - Comp and Benefits, Major Financial Firm

DM Stone - San Mateo, CA

Major employer in San Mateo, CA is seeking an experienced attorney. This is the only attorney role in the firm with the comp and benefits focus ? Reporting to Sr. Associate General Counsel, Legal. ? This position sits in the legal department and interacts with various teams within the firm, most closely our compensation and benefits groups in HR, and Tax and Payroll in Finance. ? Our att...

Director, Private Wealth Mgmt Operations

DM Stone - San Francisco, CA

Director in Operations - Private Wealth Mgmt (PWM) As part of the Middle Office Team, the Director will work with business line managers across PWM to look for ways to improve processes and reduce risks. The Director will be a resource for coordinating and managing project deliverables, reporting on key measurable and metrics, and data management. The Director's responsibilities include but ar...


DM Stone - San Francisco, CA

**PLEASE NOTE THAT THE LOCATION OF THIS POSITION IS FLEXIBLE: CAN BE IN OMAHA, NEW YORK, SAN FRANCISCO, SAN RAMON OR LOS ANGELES** DESCRIPTION The Retirement Plan Compliance Officer is responsible for providing effective compliance supervision to the Group Retirement Plan segment of the bank?s broker dealer business. The Group Retirement Plan Compliance Officer reviews and approves retireme...


DM Stone - San Francisco, CA

You will help develop and recommend policies, procedures and programs to ensure compliance with banking regulations and best practices. Implement compliance program initiatives in Private Client Services. Analyze new and pending laws and regulations which directly affect Private Client Services; develops or revises appropriate policies, procedures, and agreements to ensure compliance. Work w...


DM Stone - San Francisco, CA

Privately held Investor Management firm in SF is looking for an Administrative Assistant to support their Equity Research Investment Team. DUTIES: Perform general office duties, including managing Outlook contacts, scanning and organizing meeting notes, photocopying, and report distribution Heavy calendaring and coordination of on-site meetings within the Research Department. Setting up meet...


DM Stone - San Francisco, CA

The SEC Reporting Manager will have primary responsibility for SEC and Ontario Securities Commission reporting (OSC). You will be responsible for ensuring that the firm's accounting procedures conform to relevant SEC and OSC accounting standards. You will work extensively with corporate and operational accounting groups, technical accounting team, internal legal counsel and the firm?s SEC c...


DM Stone - San Francisco, CA

This position will have accounting responsibility for one or more operating Windfarm companies for client's asset management responsibility. DUTIES: Read, interpret, and summarize the Project's contracts and loan agreements to assure proper accounting and compliance. Full accounting and general ledger responsibility including preparation of monthly stand alone and consolidated financial st...


DM Stone - San Francisco, CA

This position is responsible for financial analysis, due diligence support and modeling. Including research, data analysis, valuation and risk assessment across a broad range of energy finance and M&A transactions, primarily in wind, solar and transmission. DUTIES: Develop financial models and analysis. Assist with structured finance product development, including developing structural sol...

Licensed Series 7/66 Financial Planner

DM Stone - Santa Clara, CA

Open position in Santa Clara: Financial Planner Our client, one of the largest and most well-known financial planning and investment advisory firms in the country, is seeking a skilled Financial Planner to join our firm. FINANCIAL PLANNERS If you are an experienced advisor with a strong planning background, let's talk. We're looking for talented professionals who want to serve the client's ...


DM Stone - San Francisco, CA

The Appraisal Specialist is responsible for processing order from fee requests to invoice receipt. DUTIES: Determines the most appropriate appraiser for the assignment. Gets appropriate fees for the assignments Orders reports on behalf of the Loan Team. Works with the appraisers and loan teams to resolve any work order issues Follows up on all orders to meet due dates. Receives appraisal...


DM Stone - Larkspur, CA

Stable and growing logistics company is looking for a Senior Accountant to join the team of their most recently acquired subsidiary. You will report to the Divisional Controller, with responsibility for analyzing financial information, preparing accurate and timely financial reports; ensuring appropriate accounting control procedures, and executing routine and recurring complex accounting fun...

Mutual Fund Relationship and Vendor Management Specialist

DM Stone - San Francisco, CA

Large investment mgmt. firm is seeking a mutual fund professional for a new role at the firm, which is launching its first mutual fund. The position will be responsible for: 1) Managing the client relationships, responding to inquiries re fund flows, tax-related questions, fund performance, etc. Clients are large institutions and wholesaling firms. 2) Liaison with their outsource bank (the ...


DM Stone - San Francisco, CA

The Operations Associate is responsible for the reconciliation of equity and fixed income accounts. This responsibility includes but is not limited to resolving breaks and exceptions between investment management account system Advent APX and the holdings reported by the various custodians, on a daily basis. DUTIES: Daily reconciliation of Custodial cash and securities to our internal syst...