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PLANNING ANALYST

DM Stone JobsInBrokerage.com - 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...

FINANCIAL ANALYST

DM Stone JobsInBrokerage.com - 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...

BUSINESS ANALYST - CONTRACT

DM Stone JobsInBrokerage.com - 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...

Investment Accountant

DM Stone JobsInBrokerage.com - Walnut Creek, CA

Job Description This position will expose the employee to many areas of the Investment Department; investment accounting, investment operations, measuring and monitoring investment performance, and compliance. This position will be responsible for various accounting tasks, including; the monthly investment accounting close, accounting procedures related to the private markets program, the revi...

ADMINISTRATIVE ASSISTANT - COMPLIANCE

DM Stone JobsInBrokerage.com - 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...

COUNSEL - PRIVATE WEALTH MANAGEMENT

DM Stone JobsInBrokerage.com - San Francisco, CA

Counsel to Private Wealth Management is responsible for supporting three primary business units: 1. The securities sector which is an SEC registered broker-dealer; 2. The investment management sector which is an SEC registered investment adviser; and, 3. The trust sector which is an operating division of the bank. Each business line has significantly expanded its offering in recent years an...

Senior Financial Planner with CFP

DM Stone JobsInBrokerage.com - Walnut Creek, CA

Prestigious investment advisory firm is seeking a service-oriented Financial Advisor with CFP, 4-year degree (both required), and 3+ years experience in financial planning to join a team of professionals servicing a very sizable and active client base of high net worth individuals. Will require some local travel during business hours to visit clients. Not a sales position (though any account ex...

GENERAL LEDGER ACCOUNTANT

DM Stone JobsInBrokerage.com - 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...

Settlements Operations - Investment Advisory

DM Stone JobsInBrokerage.com - San Francisco, CA

~ 3month assignments in our Settlements department. It could turn into something longer, but no commitment at this point. Reconcile our internal investment accounting records to those of applicable custodian banks using Electra Open STaARS reconciliation software Prepare monthly client reports to meet specified deadlines and facilitate month-end review of all data contained within internally ...

EXECUTIVE ASSISTANT - LEGAL

DM Stone JobsInBrokerage.com - 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...

RISK OFFICER - WEALTH MANAGEMENT

DM Stone JobsInBrokerage.com - 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...

COMPLIANCE LICENSING AND INSURANCE SPECIALIST

DM Stone JobsInBrokerage.com - San Francisco, CA

DUTIES: Primary focus of this role will be placed on employee and entity-level licensing and registration including tracking and maintenance of FINRA and state securities and insurance licensing, continuing education and training requirements to conduct insurance business. In addition the duties will center around the maintenance of insurance policies and procedures, including supervisory pr...

Code of Ethics and Control Room Officer - Private Wealth Mgmt

DM Stone JobsInBrokerage.com - San Francisco, CA

Code of Ethics & Control Room Officer - Private Wealth Mgmt (can be in SF or NY) Responsible for reviewing, delivering and enforcing procedures designed to prevent and detect the employee misuse of non-public information and managing employee conflicts for the Private Wealth Management division. Duties: Approve and process personal account dealing requests while ensuring holding periods. Man...

Private Wealth Advisor - SF, Palo Alto, East Bay Areas

DM Stone JobsInBrokerage.com - San Francisco, CA

This is the most senior wealth advisory role, providing relationship management to clients in the $3MM+ market segment. Private Wealth Advisors are expected to proactively attract, deepen, and manage the most complex and sophisticated financial relationships through the use of Private Wealth Management tools and processes (e.g., Value Ladder, Life Wealth Cycle, Client Profile, and Wealth Planni...

Licensed Operations Manager - Brokerage

DM Stone JobsInBrokerage.com - Palo Alto, CA

Our client, a cutting edge online broker-dealer, is recruiting a qualified candidate to manage our registered broker-dealer brokerage operations. This challenging hands-on position requires the following qualifications: ?X Minimum of 7 years brokerage industry experience preferably at a clearing firm ?X Securities regulatory knowledge ?X Experience with Corporate actions, P/S, Reorg, Etc. ?X ...