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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

INVESTMENT ACCOUNTING SPECIALIST

DM Stone JobsInBrokerage.com - San Francisco, CA

You will join a team responsible for bank reconciliation and other accounting functions spanning the company's proprietary fund lineup as well as separately managed accounts. The investment accounting team works closely with custodian banks on reconciliation matters and with trade settlements, fund accounting, corporate actions and client service teams. You will play an integral role in the...

Application Deadline: None

PROJECT COORDINATOR - ADMIN ASSISTANT

DM Stone JobsInBrokerage.com - Foster City, CA

This position will provide administrative and project support to the Product Development team within the Technology organization. Responsible for project coordination and general assistance to staff within this organization. Primary function consists of providing general administrative support to the department Provide coordination for Business Operations and Portfolio Management projects ...

Application Deadline: None

LEGAL DOCUMENT PROCESSOR - TEMP TO HIRE

DM Stone JobsInBrokerage.com - San Francisco, CA

You will support the Legal Team by assisting with the process of document execution and management including obtaining signatures for documents, tracing insurance certificates and gathering, organizing, and managing the Company's documentation. You will be responsible for verifying proper approvals for signature requests and obtaining signatures of authorized individuals. Responsible for up...

Application Deadline: None

TAX SUPERVISOR

DM Stone JobsInBrokerage.com - San Francisco, CA

Private Investment Management firm is looking for a Tax Supervisor to join their Client Service Team. Summary You will be responsible for all aspects of tax compliance, planning and forecasting for all tax filing entities of the Client Services Tax Dept., including high net worth individuals, trusts, foundations, partnerships and limited liability companies with significant emphasis on indivi...

Application Deadline: None

DATA ANALYST (ENTRY LEVEL) - CONTRACT TO HIRE

DM Stone JobsInBrokerage.com - San Francisco, CA

This is an entry-level position for new hires with an emphasis on procedures orientation and training. Under regular direction of an assigned Data Analyst, you will review insurance policy documents for accuracy, completeness, and adherence to established standards and enters data into a computerized database by performing the following duties. RESPONSIBILITIES Reviews insurance policy docu...

Application Deadline: None

Brokerage Operations Processor

DM Stone JobsInBrokerage.com - San Francisco, CA

Prestigious investment firm is looking for an experience securities ops person with strong work ethic and smarts who performs well (and accurately) in a very fast-paced environment with tight deadlines. Strong computer skills, can pass a background/reference check (including credit) and is comfortable in a professional environment with high net worth clientele. More info available. Base salary ...

Application Deadline: None

Licensed Brokerage Operations Director (self-clearing)

DM Stone JobsInBrokerage.com - San Francisco, CA

Our client, a cutting edge brokerage/BD firm, is looking for a Senior Operations Mgr with broad experience in a self-clearing B-D (in SF, not paying relo). Must have Series 24 and be willing to get Series 27 after hire. This is an exciting, growing online brokerage but with less structure and non-traditional culture. Pays $125-150K plus bonus/equity.

Application Deadline: None

BUDGET ANALYST ACCOUNTANT

DM Stone JobsInBrokerage.com - San Francisco, CA

San Francisco private investment management firm is looking for a Budget Analyst for their Corporate Accounting Team. This position is responsible for analyzing and reporting general and administrative expenses, developing and monitoring allocation methodologies and assisting with the preparation of the annual budget and forecasts for a complex organization. The ideal candidate must have str...

Application Deadline: None

SENIOR COMPLIANCE OFFICER - ASSET MANAGEMENT

DM Stone JobsInBrokerage.com - Orinda, CA

Provide compliance advice to the business on trading related activities and portfolio management oversight. Perform overall portfolio and trading related surveillance and monitoring activities for U.S and select non U.S activities, including, but not limited to market abuse procedures, best execution, manual reallocations, trade errors, counterparty oversight and restricted / watch list applic...

Application Deadline: None

Licensed Finance Manager - Brokerage

DM Stone JobsInBrokerage.com - Palo Alto, CA

Our client is a large and fast growing automated investment service, with more than $2.5 billion in client assets under management. RESPONSIBILITIES: ? Prepare and analyze the customer reserve formulas, net capital calculations and monthly FOCUS reports. ? Review and analyze the computations for SEC rule 15c3-3, various monthly reports for the firm's FOCUS filing and daily net capital calcula...

Application Deadline: None

WEALTH MGMT OPERATIONS SPECIALIST

DM Stone JobsInBrokerage.com - Berkeley, CA

Operations expert needed for 2 projects for our client: Clearing Firm conversion Portfolio Management Technology conversion SUMMARY: They need an individual who is experienced in the back office operations of fully disclosed clearing and brokerage operations environments. QUALIFICATIONS: Comprehensive experience in Broker-Dealer operations, including compliance, trade processing, technolo...

Application Deadline: None

ASSOCIATE, LENDING, STRATEGY AND PRODUCTS

DM Stone JobsInBrokerage.com - San Francisco, CA

The Lending Strategy, Product & Sales Department of this prominent and successful Bank provides pricing to the Bank, establishes and maintains relationships with potential loan purchases, sells any and all loan assets for the Bank, creates loan products, monitors the mortgage market, and works with Relationship Managers, Loan Terms, and Executive Loan Committee in order to facilitate the origin...

Application Deadline: None

Portfolio Counselor (CFP) - Asset Management

DM Stone JobsInBrokerage.com - Menlo Park, CA

Job Description - Portfolio Counselor (CFP) Portfolio Counselors are the client relationship managers, providing investment guidance and advice through phone conversations, email and face to face meetings. They learn about clients' financial circumstances through direct interaction and then work with our Portfolio Managers in the creation of portfolio recommendations based on each client's part...

Application Deadline: None