Welcome to the DM Stone site (you’ll notice the new look).  Below is a sampling of our open positions. If any interest you, please email the recruiter indicated, including resume attachment (MS Word is preferred) and a brief cover note, including compensation requirements.  Full job descriptions are available for qualified candidates upon request.  For many jobs you can click on the pdf file link to download the description (for example 5794.pdf).  If your browser does not work with our web email links, please cut and paste the indicated address into your email program.   You may click to visit our home page.


Evaluates effectiveness and efficiencies of all financial systems; Monitors emerging NAIC accounting issues related to the Model Audit Rule (MAR) to ensure the Internal Control Framework (ICF) meets regulatory requirements;
Prepares ICF Documentation and Evaluation for all in scope financial and company-level processes and coordinates the remediation of any Issues & Actions; Coordinates and oversees ICF Sustainability through, Quarterly PO Sign-Off, Process Change Impact Assessments, and Key Control & MRCA Validation efforts. This group is called Internal Control Governance (ICG).
 Contact  5769.pdf 


The Shareholder Services Group is responsible for shareholder account servicing and oversight of the transfer agents for the Funds (registered under 1940 Act) and Worldwide Funds (UCITS). The group also works closely with Client Services and the Private Client Group to maintain relationships with the Firm’s clients.  Responsible for a variety of assignments in connection with the Shareholder Services Group’s account servicing and oversight of the transfer agent for the Worldwide Funds (UCITS). This position will also support account servicing and oversight in the 1940 Act Funds as needed.
Contact  5779.pdf 

SEC Financial Reporting Analyst – SANTA ROSA, CA – REF 5786

The successful candidate will work in a team environment to consolidate the financial results of the company and report operating results internally and externally. This position is responsible for collecting financial information from global locations, reviewing, compiling, analyzing financial and accounting information, preparing consolidated financial statements and related disclosures, researching accounting policies, and preparing SEC filings (10Q and 10K) and internal management reports.  Contact for details and job description.



The Technical Accounting and Policy Analyst is a critical role within the External Financial Reporting team. The Technical Accounting and Policy Analyst supports company’s US GAAP compliance by analyzing and implementing accounting guidance, maintaining t’s accounting policies, and determining the proper accounting treatment for complex, routine and non-routine transactions.

This role has a significant involvement in areas to include, but not limited to, purchase accounting and review and implementation of new accounting pronouncements. The position reports to the Accounting Policies and M&A Manager and interacts regularly with the Corporate Finance organization and external auditors.    Contact for details and job description.,


Global Financial Services firm who is a leading independent asset services firm offering front-to-back capabilities across all asset classes to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, family offices, RIAs and traditional asset managers.

Services include Fund Administration, Tax and Middle and Back Office services.

This position provides accounting support to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, and family offices.

There will be reporting requirements to both the managers and directly to their clients/investors. You will review the accounting for all subscriptions and redemptions, including income allocation, management fee and performance fee calculations, and sign off on the monthly or quarterly NAV packages. The fund accounting team is responsible for the annual Audit which includes managing the audit relationship and signing off on annual financial statements.


  • Portfolio reconciliation, partnership accounting, series accounting, monthly performance reporting and fund accounting for management and incentive fees. Including waterfall calculations for private equity clients.
  • Responsible for oversight and review of work performed by the fund accountants and senior fund accountants.
  • Review and sign off on Month End or Quarter End NAV Packages.
  • Ensure accuracy and timely distribution of the valuation package to all clients.
  • Interact regularly with clients, auditors and vendors.
  • Additional responsibilities include training and scheduling of accountants, coordination of valuation issues, monitoring procedures and controls and prompt resolution of all issues.
  • Mentoring and training of staff 


  • Minimum 5 years’ experience in Hedge Fund Administration or in related Financial Services Operation.
  • Strong understanding of general ledger accounting including the preparation of financial statements.
  • Strong understanding of derivatives and portfolio accounting
  • Experience with Advent Geneva and income allocation software
  • Advanced Excel and Word skills.
  • Previous team management experience
  • Qualified Accountant (C.P.A., C.A. etc.) is a plus.

    Contact for details – SEND RESUME AS AN  MS Word Attachment


This position is in the Client Management Department.  The department provides external clients with client management, investor relations and treasury services functions.

Client Management

  • Act as our clients’ main point of contact.
  • Works as a liaison between the client and the internal Operations, Financial Reporting, Tax, and Systems Development departments.
  • Maintain client deliverables, production calendars, and hold regular meetings with clients.
  • Identify, research, and resolve issues with service providers and clients. 

Investor Relations

  • Processing of investor transactions in clients’ funds (subscriptions, redemptions, transfers).
  • Implement the firm’s anti-money laundering (AML) rules and procedures for all new investors.
  • Distribute client correspondence to their underlying investors via email, mail, or posting to web portal (capital statements, capital call notices, distribution notices, etc).
  • Processing of investor information for assisting with relative regulatory filings for the SEC, FINRA, IRS, etc.

Treasury Services

  • Coordination of the processing of outgoing USD and foreign wire and ACH transactions required by the firm’s Hedge Fund, Private Equity Fund, Fund-of-Fund, and Endowment clients.
  • Maintenance of banking relationships and management of bank account openings, closings and authorized signers for client’s custodian of choice.


  • A bachelor’s degree in finance, accounting, economics or similar field is helpful.
  • Detail oriented with strong organizational skills.
  • Ability to multi-task and work in a fast paced environment.
  • Excellent Microsoft Office Suite skills.
  • Superior written and oral communication skills.
  • Familiarity with wire transfer instructions is a plus.
    Contact for details and job description – send resume as an MS Word Attachment


Looking for a hands-on and detail oriented individual to join the Product Management team as an Associate Manager. The primary responsibility of this role is to effectively provide support the software licensed clients in addition to assisting with new implementations of the business process improvements.

The client’s platform is a centralized portfolio management and partnership accounting platform aimed at the Private Equity market.  The system addresses business processes across the back, middle and front office, providing core modules for Fund/Portfolio Accounting, General Ledger, Contact Management, Fund Raising, Deal Pipeline, Reporting and Investor Web Portal.

  • Manage client issues from discovery through resolution, demonstrating ability to triage issues and manage client expectations.
  • Assist with project management of new client implementations with a focus on business requirements and data migration.
  • Develop relationships with assigned clients and a deep understanding of clients’ business practices to effectively provide world-class support.
  • Cultivate internal relationships with business and technical teams collaboratively to enlist their help with client support.
  • Assist with the execution of a client communication strategy that drives clients’ usage of the TNR product.
  • Conduct pre-sales product demonstrations, assist with RFP responses and the design and setup of proofs of concept for prospective clients.
  • Manage the on-going update of software documentation including release notes, system requirements documents, and ‘help’ topics.
  • Help define, implement, monitor, and report operational metrics for client support team.


  • Detail-oriented with strong time management and project management skills.
  • Comfortable working autonomously and as part of a team.
  • Excellence in analytical thinking, problem solving, communication, planning & organization and judgment.
  • 5 – 7 years relevant work experience, strong consideration given to candidates with fund accounting experience.
  • Ability to successfully multi-task in the face of ambiguity, switching gears as priorities shift.
  • Willing and able to address escalated client issues with speed and urgency.
  • Ability to achieve consensus among different constituents.
  • Experience managing client relationships strongly desired.
  • Technically savvy with strong command of Office products.
  • Ability to collaborate within the organization and across the client base.
    Contact for details and job description – send resume as an MS Word Attachment


Prominent SF based Investment Management firm is looking for a RSA to assist and support a high producing team.

Primary Assistant to a team of FA’s with $3mm in production and $600mm in assets.


Answer phones

Answer customer requests, checks, wires ACH.

Open new accounts, follow up on documentation and open items regarding accounts

Assist with performance reporting and customer/prospect presentations

Assist FA’s with trading of commission and advisory accounts

Experience with RIA asset allocation software, and trading platforms

Understanding of managed account procedures

Exposure to dual contract and outside manager’s procedures

Understanding alternative investments and policies and paperwork

Basic understanding of trusts, LLC, DVP, and foreign accounts.

Basic understanding of settlements, margin, Re-org, with relevant experience.

One partner travels extensively, You will need to have some basic experience with booking flights, hotels, and car rentals.  This will probably be done by the junior associate, but should be able to back them up, if needed.

The senior partner is very high energy.  He spends a considerable amount of time out of the office. The team has multiple strategies and portfolios for each client, so the person needs to be used to a fast paced but very detailed workflow.

Organization is key to being effective, you will have, at times, stand in for one of the partners when they are out.  Extensive RIA experience is desired.


Contact for details and job description – send resume as an MS Word Attachment


Leading independent asset services firm offering front-to-back capabilities across all asset classes to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, family offices, RIAs and traditional asset managers. Services include Fund Administration, Tax and Middle and Back Office services.  They have over 200 clients worldwide representing more than $110 billion of combined assets under administration (AUA).

The MBO Associate performs reconciliation and client service work for hedge funds and separately managed accounts for one of the largest operations team.


  • Perform reconciliations of cash and positions
  • Ensure that all daily trading activity (including equities, fixed income, futures, options, and OTC derivatives) and non-trading activity is correctly processed
  • Proactively handle and resolve any break resolution
  • Manage collateral movements for derivatives positions
  • Resolve issues that arise in use of Geneva system for trade processing and fund accounting.
  • Promptly answer client inquiries over the phone or email
  • Respond to any requests from outside auditors.
  • Keep senior management apprised of any issues and progress


  • Bachelor’s Degree
  • 1 – 3 years of hedge fund accounting/reconciliation experience with a fund administrator or hedge fund company
  • Strong Geneva skills are a plus
  • Strong financial product knowledge
    Contact for details and job description – send resume as an MS Word Attachment



  • Bachelor’s Degree required; JD preferred
  • Experience at a large investment advisor with multiple fund lines of businesses preferred
  • Working knowledge of US insider trading law, fiduciary duty concepts, anti-corruption law, and know-your-customer rulesContact for details and job description – Send resume as an MS Word Attachment


    Established VC  firm is looking for an Attorney to join their Compliance team.The Compliance platform serves all businesses globally and supports the US CCO and Global CFO/CCO in executing critical deal diligence and review; administering policy and employee training; and managing risk and conflict in all aspects of business.


    • Bachelor’s Degree; Juris Doctor; 5+ years of law firm experience preferred
    • Experience at a large investment advisor with multiple fund lines of businesses preferred
    • Working knowledge of US insider trading law, fiduciary duty concepts, anti-corruption law, and know-your-customer rules
      • Bachelor’s degree and minimum of 3 years of experience in a high growth and dynamic sales environment with results showing success in achieving progressively higher sales related goals
      • Experience in wealth management, financial advisory or other financial services preferred
      • Demonstrated ability to work both independently and as a team to achieve shared goals
      • The ability to think strategically and creatively in a fast-paced environment
      • Excellent written and verbal communications
        • BA/BS degree
        • 2+ years Industry related experience or related brokerage/financial services industry experience
        • Basic understanding of branch level operations, policies and procedures (i.e. regulations and compliance requirements)
        • Series 7 and Series 66 or Series 65 or Series 99 preferredContact for details and job description – Send resume as an MS Word Attachment


            • Assist in the production of a high volume of presentation materials for client meetings, industry conferences or management visits by utilizing various software packages
            • Fast-growing Wealth Manager with over +$2.5b under management is seeking experienced, entrepreneurial Senior Financial Advisor with substantial client service, investment sales, and financial planning experience.  Growing firm headquartered in Los Angeles with a national footprint.  Must have excellent presentation skills, a mastery of financial planning, including, but not limited to, tax and estate planning and asset management, and have superlative consultative selling techniques.  Above all, you are dedicated to developing best-in-class client service.  We will support your entrepreneurship and facilitate your growth to be independent and actively managed a book of clients.Contact for details and job description – Send resume as an MS Word Attachment


              You will be responsible for the execution of the annual testing compliance plan for compliance with Zurich Sarbanes-Oxley (SOX) requirements and compliance with the NAIC Model Audit Rule (MAR) internal control certifications.This role specifically will include the assessment of the design and operating effectiveness of the control environment across all functions. This role will be the lead interface with leadership teams of business units and may perform special projects as needed.QUALIFICATIONS:Bachelor’s Degree in Accounting, Finance Business or related field, or equivalent combination of education and experience Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA), or other comparable designationMinimum 4 years’ experience in auditing either IT or financial statement audits; experience in a big four or national CPA firm preferred.Strong understanding of financial accounting, internal control over financial reporting (ICFR)
              Contact for details and job description – Send resume as an MS Word AttachmentSR RELATIONSHIP MANAGER – BUSINESS BANKING – OAKLAND, CA
              REF 5846
              Responsible for the sourcing, securing, developing, and retaining profitable business banking relationships within the assigned region.

              Primary focus is on finding new business opportunities to sell the Bank’s products and services and retaining and expanding existing relationships. Responsible for contributing to the assigned Region’s credit portfolio quality and processing of requests for credit extension, ensuring credit facilities are properly structured, priced and documented. Maintains and grows current relationships by presenting new lending opportunities and cross selling business and personal banking products to existing clients.


              Bachelor’s Degree in Business or Finance – Required

              Master’s/Advanced Degree in Business or Finance – Preferred

              Requires mastery level knowledge of job area typically obtained through advanced education combined with experience.

              May have deep knowledge of project management.

              Requires 10 years minimum prior relevant experience.

              Solid understanding of underwriting and analysis for small and mid-size companies of all complexities.

              High degree of comfort and familiarity with use and application of commercial lending principles

              Active understanding and ongoing use of Touchpoint, electronic underwriting systems and other enterprise level systems.

              Contact for details and job description – Send resume as an MS Word Attachment



              • To support Sales, Accounting and Administrative tasks in order to run daily operations smoothly.
              • Key position in arranging the payments and receipts/bank deposit of the sales proceeds.

              • Administrative duties and promptly take care any office problems and duties that arise in daily

              Contact for details and job description – Send resume as an MS Word Attachment



              Seasoned Professional contributor works independently with limited supervision. The Relationship Manager is the first initial point of contact and the primary contact to  highest income / net worth client’s portfolio. The Relationship Manager is responsible for managing a portfolio of clients; maximizing client engagement by assessing, understanding, and identifying clients banking needs and providing or arranging a wide array of wealth advice.       Contact for details and job description – Send resume as an MS Word Attachment



              You will support a team of Investment Analysts, Portfolio and Client Service Managers in the Fixed Income group.

              Primary responsibilities include:

            Assist in the production of a high volume of presentation materials for client meetings, industry conferences or management visits by utilizing various software packages.

          • Utilize PowerPoint and Excel to edit and update presentation materials.  Prepare monthly and quarterly client reports as well as internal reporting
          • Prepare materials for client visits and research tripsPerform general office admin duties
          • Contact for details and job description – Send resume as an MS Word AttachmentLEAD DATA GOVERNANCE ANALYST – SAN RAMON-REF 5859
            • Responsible for high level of data quality through the creation and management of sound Metadata management processes. In addition, they will drive the efficiencies for data management and evaluation of how data flows. This individual is responsible for governance and policies, standardizing data naming, establishing consistent datadefinitions and monitoring/auditing the overall enterprise data quality. Work closely with other work-streams so that the data management requirements are appropriately implemented within individual work-streams in a consistent manner.Consults with and guides business owners to document, implement and maintain the metadata and business rules for the bank’s data, beginning with the data required.Analyzes the data within the bank, identifies issues and makes recommendations to ensure adherence to consistent definitions, business naming standards, development of standard calculations, security requirements, etc.Develops and enforces methods and validation mechanisms for ensuring data quality and accuracy through the warehouse.Identifies any issuers or anomalies in the quality of data within the bank’s systems.Entrusted with improving, and maintaining a high level of, data quality.Develops metrics and reporting requirements for ongoing monitoring of the bank’s data.Prioritizes directs the resolution of data quality related issues; counsels business and technology representatives to have them resolved.Resolves escalated issues. Contact for details and job description – Send resume as an MS Word Attachment

              FINANCIAL ADVISOR –Ref 5860 – San Francisco – Licenses Required

              Seasoned professional contributor works independently with limited supervision.Provides retirement planning strategies for Mass Affluent clients ($25,000 to $250,000) by assessing the client’s past, present and future financial needs, objectives and requirements.Meets needs by proactively building relationships with clients, providing ongoing advice and drawing on the range of available R&I products and conducting in-depth Premier Retirement checkup analysis for clients. Initiates and proactively cultivates relationships with bank partners including Branch Managers and others.Provides retirement strategies for client’s needs by collecting and analyzing client financial data to determine which products best meet the client’s retirement needs, and providing ongoing advice to the client as to what investment products are in the client’s best interest.Maintains an in-depth knowledge of the Bank’s products and offerings, and promotes these products and offerings among  clients as appropriate.Provides training to and promotes products among bank branch personnel in conjunction with Regional Manager and Relationship Managers.Establishes and maintains relationships with 3-5 bank branches to generate viable referrals for Retirement & Investment products.Provides outstanding customer service by following up on any client service request.Fulfills all regulatory and firm compliance obligations as detailed in policies, procedures and regulations.

              Creates financial plans for customers and deepens relationships with existing book of business clients.   Contact for details and job description – Send resume as an MS Word Attachment

              Operations and Accounting Analyst – LA – REF 5862


              • Reconcile daily P&L, positions, cash and trade breaks between administrator, brokers and internal systems
              • Review and prepare monthly portfolio analyses, including exposure reporting, attribution analysis and risk reporting
              • Coordinate post-execution trade data flow from the order management system (thinkFolio) to service providers and internal systems
              • Review investors’ management and performance fees, P&L, RORs and monthly statements
              • Support the Funds’ auditors and tax preparers on year-end financial reporting in accordance with GAAP
              • Assist the Firm’s Valuation Committee with the monthly pricing process –  Contact for details and job description – Send resume as an MS Word AttachmentSENIOR ASSOCIATE, COMPLIANCE – REF 5861 – SF

Support the administration, development and execution of the IM/SC compliance monitoring and surveillance program.

This role will focus primarily on the administration of the Code of Ethics of which includes the review of employee conduct and personal trading activity.

The ideal candidate will have previous compliance experience in a high-touch/high-client-experience expectation organization within a registered investment advisor and/or broker-dealer.

This Compliance position will report to the Vice President of Compliance. FOR COMPLETE JD AND DETAILS:    Contact


Our client seeks a skilled Client Service Associate to provide full support to one or more Financial Planners, ensuring and enhancing client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards.  For complete JD and information



Reporting to the firm’s Managing Partner, the Chief Compliance Officer and Counsel  is responsible for supporting the design, development, implementation and enforcement of the firm’s compliance policies and procedures.

Our client is an innovative growth equity and private debt fund. Based in the firm’s San Francisco Bay area headquarters, the individual will lead the firm’s compliance initiatives and play a key role in supporting the firm’s legal needs. The ideal candidate will be a collaborative problem solver with a comprehensive legal and regulatory background and commercial mindset.

Must have a valid JD and good standing w/state bar

For complete JD and information

VP/PERSONAL TRUST OFFICER (dmstrust)  Major private bank in SF seeking a senior Trust Officer with 8+ years experience to work with clients in the HNW space.  JD, CTFA, or other cert a plus.  Great oppty, compensation, benefits. Contact

PERSONAL TRUST OFFICER – PATH TO MANAGEMENT (dmstrust2)   Small community bank on the SF Peninsula is seeking an experienced Trust Officer who would be promotable to manager.  JD, CTFA, or other cert a plus.  Growth oppty.  Contact

AML/BSA DIRECTOR OF QC & TESTING (dmstestdir)  Major SF bank is seeking an experienced AML testing professional with strong audit/controls & mgmt background.  Also seeking a more junior specialist. Will relo. Contact

SALARIED INVESTMENT CONSULTANT – MULTIPLE NOR CAL LOCATIONS (dmssalfc)  National brokerage firm is looking for financial sales professionals with 2-3 years experience and Series 7/66.  Will be given a book of HNW clients.  Locations include SF, Palo Alto, Cupertino, Campbell, Walnut Creek, Roseville.  Contact

COMPLIANCE ASSOCIATE – RIA (dmscomplassoc)  Prestigious SF investment firm.  Degree plus 2-3 years experience.  Will perform regulatory filings (ADV, etc.), and support compliance team.  Lots of growth potential.  Contact

CORPORATE PARALEGAL – FUND FORMATION (dmsparalfund)  Prominent SF law firm.  Degree plus 3 years of corporate paralegal experience required, prefer fund formation experience.    Contact

LAW FIRM BILLING COORDINATOR (dmsbillinglaw)  Prominent law firm has openings in SF and Palo Alto.  Prefer degree plus 2+ years of accounting experience, prefer billing software experience (CMS Open, E-Billing-Hub and/or Intapp Time.)  Contact

SERVICE WEALTH ADVISOR (dmssvcwealthadv) Prestigious and growing investment advisory firm in the East Bay is seeking an experienced CFP service advisor who enjoys financial planning, working with multi-generational family clients, and is team oriented.  Experience with another RIA would be a big plus.  Generous Base Salary + Incentive Commission for new assets added.   Contact

ASSOCIATE, INVESTMENT TECHNOLOGY (dmsassocinvttech)  Prestigious SF Investment Firm is seeking an experienced investment technology professional.  Position will support brokerage (Pershing, etc.) and RIA (Advent) systems, and will require market hours (5:30 am start time).  Strong in software such as SQL, VBA, Java, SSRS, SSIS, Informatica.  Great growth oppty and firm.  Can be perm or contract role.  Contact

FINANCIAL SYSTEMS ADMINISTRATOR – LAW FIRM (dmsfinsystadm)  Prominent SF Financial District law firm is seeking an experienced law firm technology professional to be responsible for design, development, support and management of the firm’s accounting and business databases.  Requires thorough knowledge of Aderrant Expert, including development.  Also, heavy knowledge, prefer Powershell, MS Visual Studio.  Will supervise one application developer.  Contact

PRIVATE BANKER WITH BOOK – PRESTIGIOUS BANK, PALO ALTO OFFICE (dmsprivbnkr)  Prominent California based bank is seeking an experienced banker who caters to the high net worth community in Silicon Valley.  Must have prior credit training, knowledge of jumbo mortgages, commercial lending, deposits and investments.  Series 7 and 66 licenses preferred (or may obtain after hire).  The Bank offers flexibility in growing one’s book, a first-year base salary during ramp-up, and a generous commission structure.  Culture is entrepreneurial and supportive, and highly customer focused.  Applicant should have a current book of around $75-100 million, mix of loans, deposits, investments, with main focus being on lending.  Will not inherit a book.  Please contact

REGISTERED CLIENT SERVICE MANAGER – PRESTIGIOUS FIRM, PALO ALTO AND CENTURY CITY OFFICES (dmsCSMGR)  We’re looking for a registered Client Service Manager (FINRA Series 7/66 and 9/10 or 24) for a major private client brokerage group in both its Palo Alto and Century City offices.  Need experience developing 10-20 CSA staff, preferably from a wire house firm.   For more info, please contact

Investment Management Attorney – San Francisco  (dmsIMAtty) Our client, a major law firm, is seeking an Associate to join the Investment Management practice in their dynamic San Francisco office. The ideal candidates will have at 3-6 years of experience in drafting and reviewing limited partnership agreements for hedge funds, venture capital funds and private equity funds from both the manager and investor perspective.   Candidates should also have experience in negotiating side letters with fund counsel.

Candidates must be self-starters who possess the ability to work independently and as part of a team. We require strong academic credentials, excellent communication skills, and a commitment to providing the highest quality client service. Candidates will work closely with experienced lawyers who will provide active mentoring and opportunities to assume increasing levels of responsibility and client contact.  Please contact

PRIVATE BANKER WITH BOOK – PALO ALTO (dmspbbook)  We’re looking for a Private Banker for a top bank in its Palo Alto office.   Must have a book of $75-100MM, mostly mortgage & comm’l lending, plus deposits & investments.  Series 7/66 a +, or may obtain after hire.  Base salary for 1st year, generous commission plan.  Please contact

INVESTMENT RESEARCH ANALYST/CFA – SF (dmsresanlst)  We’re looking for a Research Analyst/CFA for a premier buy-side firm in SF.  Initially will cover domestic equities & portfolio re-balancing.  Need CFA with 3-10 years of sell- or buy-side experience.  Base salary + discretionary + performance bonus.  Hours 7-4:30 or so.   Please contact

INVESTMENT COMPLIANCE MANAGER – SF (dmscomplmgr)    We’re looking for an Investment Compliance Manager for a major financial firm in SF (or South Bay).  Will manage RIA compliance (plus B-D), also risk, controls, remediation, new product research.  FINRA 7/24/79 must be obtained w/in 1st 6 mos.  Prior staff management experience is not required.  Competitive salary and bonus range.  For more info, please contact