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 www.DMStone.com to visit our home page.
TRADE SETTLEMENTS MANAGER (5679)
You will be responsible for the day-to-day operations of the trade settlements function, including management of the team supporting this aspect of the business. You will be a key member of the Investment Operations team taking a leadership role in promoting efficient workflows, managing operational risk and supporting new initiatives for the firm.
Contact firstname.lastname@example.org 5679.pdf
MARKETING DIRECTOR SMALL BUSINESS – SOUTHERN CALIF (5681)
This role reports to the Head of Retail Bank Marketing and you will manage all acquisition and relationships deepening marketing initiatives for Small Business Deposits, Lending, and Merchant Services. Contact email@example.com 5681.pdf
WEALTH STRATEGY ASSOCIATE (5674) You will join a five-person team that manages assets for high-net-worth individuals (in excess of $10 million). The two principals are part of a select group of experienced professionals that work with a limited clientele, helping to craft customized, comprehensive wealth management plans.
Contact firstname.lastname@example.org 5674.pdf
DATA WAREHOUSE DEVELOPER (5657)
Established Alternative Investment firm is looking for a hands-on individual for the role of Business Intelligence / Data Warehouse Developer within the IT application development team. Contact email@example.com 5657.pdf
INSTITUTIONAL SERVICE ASSOCIATE – SCOTTS VALLEY (5655) Our client is looking for a dynamic, self-starter to make a mark on their burgeoning institutional client relations team.
Contact firstname.lastname@example.org 5655.pdf
DIRECTOR OF OPERATIONS – SCOTTS VALLEY
(5695) This fast-growing, focused investment management firm that has provided disciplined portfolio management for individuals, retirement accounts, trusts, family offices, corporations, endowments and foundations across separately managed accounts and mutual funds for the past 30 years. Job Summary The Director of Operations position will report directly to the Chief Operating Officer and will work with other members of the trading and operations team to address a variety of organization objectives. You will have an aptitude for financial and investment concepts, and work well under pressure. Attention to detail is a must as you will be tasked with oversight and quality control. The Director of Operations is an important position. Contact email@example.com 5695.pdf
CLIENT RELATIONS MANAGER – SCOTTS VALLEY (5696) Investment Management firm, fast growing and very successful is looking for a Client Relations Manager to work directly with firm’s clients to address a variety of needs.
Contact firstname.lastname@example.org 5696.pdf
PRIVATE WEALTH ADVISORS (5598) PLEASE NOT THAT THERE ARE 2 POSITIONS AVAILABLE – SAN FRANCISCO AND PALO ALTO This is the most senior wealth advisory role in the Bank, providing relationship management to clients in the $3MM+ market segment. Contact email@example.com 5598.pdf
FINANCIAL WRITER (5714) Responsible for producing informative content that is intended to educate shareholders, clients, and third parties on firm’s investment approach, process, strategies, and performance. Be a contributor to content development and is responsible for writing, editing, and proofing external communications materials. Contact firstname.lastname@example.org 5714.pdf
SR. ACCOUNTING ASSOCIATE WITH CPA (5721)
Premier Accounting and Consulting firm is looking for a Sr. Accounting Associate for their San Francisco office. Their litigation support department is renowned for pioneering the litigation support role in complex marital dissolution cases, and they are looking for a talented CPA to join their team. They are looking for someone who enjoys the fast-paced work environment of interfacing with clients and attorneys of a multitude of successful and diverse clientele. Contact email@example.com 5721.pdf
REGISTERED CLIENT ASSOCIATE MENLO PARK (5722)
Private Wealth Management Firm is looking for an Registered Client Associate with no more that 3 or 4 yrs. experience. The primary function is to 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.
Contact firstname.lastname@example.org 5722.pdf
FINANCIAL SERVICES PRINCIPAL – SOUTHERN CALIF. (5727) National Insurance and Financial firm is looking for a Financial Services Principal for their Southern Calif location. You will review new account applications and transactions to assess compliance with policies and regulations. The position may also serve as a backup supervisor/lead for other Operational staff. Contact email@example.com 5727.pdf
CORPORATE ACCOUNTANT/REVENUE ANALYST (5729) Investment Management firm in San Francisco is looking for a Corp Accountant/Revenue Analyst with Strong Excel skills to report to the Treasurer and work with a variety of individuals inside and outside the firm, including department leaders, portfolio managers, clients, and client service professionals.
(Contact) firstname.lastname@example.org Download 5729.pdf
INVESTMENT OPERATIONS SPECIALIST (5730)
Prominent Investment Management firm is looking for an Investment Operations Specialist with Corp Actions, Fixed Income and Derivative instrument experience. You will be a key member of a fast paced operations team primarily responsible for corporate actions, proxy voting and supporting trading in international markets and complex instruments. You will play a key role in managing operational risk, creating and documenting efficient workflows, and supporting new initiatives for the firm. Contact email@example.com Download 5730.pdf
TECHNICAL ACCOUNTING & REPORTING ANALYST – CPA REQUIRED (5732) This position will maintain key internal relationships with the Director, Technical Accounting & Reporting, Entity Controller, Director of FP&A, Sr. Manager, Consolidations & Financial Systems, corporate and operational accounting groups, and the corporate tax, legal, IT and finance groups as well as other operational management as needed. Externally, key relationships will include firm’s audit and tax firms. Contact firstname.lastname@example.org Download 5732.pdf
RELATIONSHIP MANAGER (5733) the Agriculture Relationship Manager is responsible for originating, closing, and servicing new and existing business in the market segment assigned, and for portfolio and risk management coordination with different areas within the bank. (Contact) email@example.com Download 5733.pdf
TRADE OPERATIONS TEAM LEAD (5734) Premier investment mgmt firm in SF. Requires 3-5 years experience in brokerage. Will manage trade ops & associated risk. 4-year degree, prefer FINRA licenses. Knowledge of Pershing, NetX 360, Omgeo a plus. Contact firstname.lastname@example.org Download 5734.pdf
IT AUDITOR – ROSEVILLE, CA (5736)
You will be responsible for executing internal audits of business units, key processes, computer systems, and information security controls to determine adequacy of the control structure, mitigation of risks and effectiveness and efficiency of operating processes. Based on candidate experience, this role may also be filled as a Senior IT Audit candidate. (Contact) email@example.com Download 5736.pdf
TAX ANALYST – RENO, NV (5738) Responsible for tax compliance of Company’s various taxes, including but not limited to PowerPlant depreciation and deferred tax system application, income tax accrual, preparation of the annual tax return, assistance with preparation of the 10-year tax forecast, preparation of franchise and property tax filings, and regulatory filings. You will be responsible for the preparation of the property-related side of Company’s income tax compliance. Duties include the utilization of the PowerTax system, which calculates the book-tax depreciation differences utilized in NV Energy’s provision, tax return, Form 10Q and 10Ks, monthly regulatory reports, including general rate case reports, and forecast. (Contact) firstname.lastname@example.org Download 5738.pdf
CALL CENTER LOAN REP – SANTA MARIA, CA (5739) Our client has an exciting opportunity for a Call Center Loan Representative at their Santa Maria Operations Center! You will be responsible for servicing the financial needs of clients through all Customer Care communications channels, web chat and phone, while actively contributing to the achievement of the department referral and service goals. Provide outstanding customer experiences by consistently providing premier customer service and professional resolution of problems/issues. Handle a variety of customer service and referral calls and chat interactions in a prompt and courteous manner to meet and exceed established goals. Use your knowledge of bank products and services and effective skills to identify and make referrals to meet customers’ needs. Perform calls and chats and completes transactions in compliance with regulatory and bank policies and procedures with adherence to bank security policies and confidentiality of bank records and customer information.
(Contact) email@example.com Download 5739.pdf
IN-HOUSE COUNSEL – ROSEVILLE, CA (5747) Our client has an exciting opportunity for a Counsel in their Roseville Executive Offices. The Counsel position is responsible for handling day-to-day legal transactional matters in assigned area(s), which will depend on department staffing, the skills of the incumbent and the needs of the bank. Banking, Finance Industry or Employment or Labor Law preferred. RELOCATION BEING OFFERED (Contact) firstname.lastname@example.org Download 5747.pdf
INTERNAL AUDITOR – 5748 – As a member of the Internal Audit team, you will work closely with the Bank’s finance, accounting, compliance, wealth management, and other lines of business to ensure appropriate control design and test control effectiveness across organizational processes. (Contact) email@example.com Download 5748.pdf
ACCOUNT EXECUTIVE (CORPORATE ISSUER SOLUTIONS) – 5749 – SAN DIEGO – WORK FROM HOME
Great opportunity to join a leader in the Fintech Industry. As an Account Executive you will drive revenue through the development of innovative and compelling sales strategies targeted for the Corporate Issuer marketplace.
(Contact) firstname.lastname@example.org Download 5749.pdf
Financial Systems Administrator – LAW FIRM EXP – (5750) – This position reports to the controller an supervises an Application Developer – it’s with an established and successful Law Firm in SF. (Contact) email@example.com Download 5750.pdf
ADMINISTRATIVE ASSISTANT FOR FIXED INCOME GROUP WITH STRONG EXCEL AND POWER POINT – (5754) – You will support a team of Investment Analysts, Portfolio and Client Service Managers. Experience with Cloud -based Seismic would be most helpful! (Contact) firstname.lastname@example.org Download 5754.pdf
FINANCIAL SERVICES PRINCIPAL – AGOURA HILLS, CA (5755) –
Reviews less complex FS new account applications and transactions to assess compliance with FS policies and regulations. Must have completed or will complete within 60 days of hire NASD Series 6, 26, 51 and 63 registrations. Other qualifying examinations may also include NASD Series 7 instead of the Series 6, NASD Series 24 instead of the Series 26, Series 53 instead of Series 51, and the Series 66 instead of the Series 63.
**Please be advised that is a limited broker-dealer as such only the S63 portion of the S66 will be registered. (Contact) email@example.com Download 5755.pdf
LEGAL SECRETARIES FOR GLOBAL LAW FIRMS – 5756 – Palo Alto and Redwood Shores
Two Global Law Firms are looking for Corporate Legal Secretaries with 2-7 years experience. Client would look at a Litigation Secretary as well.
Send resume as an MS Word Attachment to diane @dmstone.com
Contact firstname.lastname@example.org 5756.pdf
Family Office/Client Relations Specialist WITH TAX EXPERIENCE (5757)
The Client Relations Specialist will assist the Senior Director and Client Relations Manager with the provision of services related to banking, insurance, charitable giving, reporting and analysis and other client relations activities.
Contact email@example.com 5757.pdf
ASSOCIATE GENERAL COUNSEL – ROSEVILLE, CA -5758
Exciting opportunity for an Associate General Counsel located in Roseville Executive Offices.
You will be responsible for handling day-to-day legal transactional matters in assigned area(s), which will depend on department staffing, the skills of the incumbent and the needs of the bank. Special projects will be assigned (or proposed by the incumbent) from time to time, depending on bank needs.
Train bank staff in his/her area of competence, either with written, video or other material or by conducting training classes in various locations as needed and be responsible for maintaining her/his skill level by attending appropriate professional seminars and training opportunities.
EXECUTIVE ADMINISTRATIVE ASSISTANT – ROSEVILLE, CA – REF 5759
Our client is an award-winning, full-service bank serving California communities grounded in agriculture. They provide a wide range of financial products and services for individual, business, and food and agribusiness customers. They take pride in improving their communities personally and professionally. They are a nationally chartered bank, FDIC member and equal opportunity lender.
You will perform a wide variety of administrative and staff support services to relieve departmental manager of administrative details.
Duties may be complex and confidential in nature and involve sensitive information or application.
Duties may include word processing and spreadsheet projects involving records and statistics, preparing and analyzing reports and correspondence as well as special administrative coordination of projects. You will be accountable for the accurate, timely completion of assigned duties and maintaining the confidentiality of sensitive information. Contact firstname.lastname@example.org 5759.pdf
DOCUMENT ADMINISTRATOR – 5763
The Document Administrator 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. Contact email@example.com 5763.pdf
INTERNATIONAL TAX MANAGER – SANTA CLARA – 5765
Our client helps companies address their toughest challenges with precision and confidence. They offer the most precise electronic measurement tools in the industry, with advanced software to match. The International Tax Manager is a critical role within the Income Tax function of the Tax Department. This position is responsible for the review of non-US entity US GAAP income tax provisions, including consolidation and oversight of foreign provisions prepared by local country controllers.
The International Tax Manager reports to the Tax Reporting Senior Manager. The role has significant interaction with other members of the Tax team, External Reporting (the SEC Team) and the finance organization. Members of their India Tax Office located in Manesar, India, report to the International Tax Manager to perform preparation, analysis, and first level review. Accordingly, the ability to work with global teams remotely is a key skill. RELOCATION AVAILABLE – Contact firstname.lastname@example.org 5765.pdf
FINANCIAL SERVICES LICENSING & REGISTRATION COORDINATOR – AGOURA HILLS, CA – 5766 – You will complete all necessary tasks for initial FINRA Licensing, maintenance, and terminations of Licenses. Heavy emphasis on customer service and continuous improvement while ensuring compliance with FINRA and other relevant regulations. Handle straightforward cases and works with the Senior Coordinators on more complicated cases. Provides excellent service to the agency force and employees. The Coordinator will be licensed as a FINRA Principal and have responsibility for signing off on U4’s, Disclosures, and U5’s on behalf of the firm. They will have accountability for staying current with rules and regulations and making appropriate decisions.
Customer service – email/phone contact with agency force and employees. Review Licensing applications, maintenance, and termination issues and make decisions per FINRA and firm rules. Running/creating reports to assist management in decision making. Ad hoc projects as assigned by management.
Contact email@example.com 5766.pdf
OPERATIONS ANALYST – SCOTTS VALLEY, CA – 5767 – Perform portfolio maintenance through the use of Advent AXYS. This may include account reconciliation, performance calculations, and database entry. Trading experience; RIA or Brokerage firm experience; familiar with portfolio accounting systems and strong Excel.
Contact firstname.lastname@example.org 5767.pdf
ADMINISTRATIVE ASSISTANT TO INVESTMENT TEAM – 5768 Administrative Assistant to support Global Investment Team in an efficient, detail-oriented, and proactive manner. Looking for a seasoned professional who has strong experience supporting a team of senior managers and executives with global responsibilities in a fast-paced firm. The ideal candidate will also have experience working in a Financial Services company. Contact email@example.com 5768.pdf
ACCOUNT SPECIALIST – INTERNAL CONTROLS GOVERNANCE (ICG) – 5769 – LOS ANGELES, CA
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 firstname.lastname@example.org 5769.pdf
LICENSED PRIVATE WEALTH ADVISOR (dmspwa) Major bank is seeking a seasoned investment professional in the HNW space. Bank experience preferred. Locations: Santa Barbara, San Diego, Glendale, SF Valley. Great oppty, compensation, benefits. Contact email@example.com
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 firstname.lastname@example.org
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 email@example.com
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 firstname.lastname@example.org
VP/SENIOR PORTFOLIO MANAGER WITH BUS/DEV SKILLS (dmssrpm) Major Bay Area bank is looking for a VP/Portfolio Manager w/CFA and BusDev skills in their Palo Alto ofc (initially will work out of SF). Will inherit a book, customize portfolios for HNW customers (aided by SMEs), & go along on sales calls. Great oppty! Contact email@example.com
BANK MARKETING DIRECTOR ROLES (dmsmktgdir) Prominent cutting edge SF bank is looking for marketing managers for both wealth mgmt & business banking. Will provide thought leadership, brand/product mgmt, communications/events, web/social media. Great oppty! Contact firstname.lastname@example.org
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 email@example.com
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 firstname.lastname@example.org
COMPLIANCE TESTING ANALYST – BROKER-DEALER, TEMP-TO-HIRE (dmscompltest) Prominent SF investment firm. Audit & regulatory compliance background required, e.g., FINRA, SEC, FDIC. Degree preferred, 5-10 years experience. Forensic testing, planning reporting. Lots of growth potential. Contact email@example.com
CORPORATE PARALEGAL – FUND FORMATION (dmsparalfund) Prominent SF law firm. Degree plus 3 years of corporate paralegal experience required, prefer fund formation experience. Contact firstname.lastname@example.org
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 email@example.com
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 firstname.lastname@example.org
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 email@example.com
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 firstname.lastname@example.org