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


This position assists the tax department with a wide range of investment fund tax and accounting related responsibilities, including but not limited to the review and preparation of federal, state local and foreign tax filings and related work papers, the preparation of book to tax adjustment, the preparation of company management books and various other tax planning projects.  The Sr tax accountant also assists in the documentation and maintenance of the federal and state tax compliance requirements, and helps develop relevant workflow enhancements as they pertain to the tax reporting and preparation process. The ideal candidate has a solid tax background and is looking for an opportunity to broaden his or her technical skills.  He or she will possess a willingness to learn directly from seasoned tax professionals and to deep dive into investment related tax issues.  The position reports directly to the Associate Tax Directors.

Primary Responsibilities:

  • Prepares and reviews tax compliance work (i.e. federal and state tax returns/filings tax adjustments for investments (wash sales, straddles, constructive sales), estimated tax payments, local tax filings, 1099, etc.
  • Reviews and prepares US FATCA and CRS returns, registrations, and other related activities
  • Provides timely and accurate responses for federal and state tax notices.
  • Researches and calculates the tax impacts of various tax issues.
  • Acts as a trusted advisor when providing advice related to tax compliance, planning, strategy, etc.
  • Strives to increase knowledge across all areas of tax and helps the tax associates grow their technical knowledge
  • Maintains and monitors tax team schedules to ensure internal deadlines are met
  • Performs other related duties as assigned

Minimum Qualifications

  • Bachelor’s degree in Accounting or Tax is required, CPA and/or Masters in Tax desired
  • Up to 7 years of tax preparation experience, investment fund and high net-worth individual tax experience a plus
  • Up to 7 years of accounting experience; demonstrated experience preparing common journal entries is required, A/P, A/R or financial statement reporting experience a plus
  • Must possess excellent verbal and written communication skills; prior experience communicating with clients, the IRS state and local tax authorities is required
  • Demonstrated ability to quickly master new technical skills
  • Demonstrated analytical, organizational and problem solving skills
  • Demonstrated attention to detail and accuracy
  • Must be able to work independently and under minimal supervision
  • Demonstrated proficiency in CCH ProSystem fx, QuickBooks Online and Microsoft Office is required. Experience using Washems, BNA income Tax Planner, RIA Checkpoint, US FATCA/CRS reporting websites, CFS for Forms 1099 preparation a plus



Requires a JD, and preferably some consulting and/or examiner experience (FINRA or SEC).  Clients are private investment funds (HF, PE, etc.) contact Diane for complete job description.



You will provide daily office support to Attorneys and staff in a fast-paced, high volume legal department, and is frequently called on to assist employees across all business groups with contract-related matters.

Job duties include obtaining signatures on contracts through the Legal Contract Lifecycle Management System (CLM) and DocuSign (or obtaining manual signatures as required); printing, filing, and maintaining appropriate filing systems including hard copy files of all executed contracts; evaluating company-wide purchase order requests to determine compliance with the company’s contract policy; making travel and meeting arrangements; managing calendars; preparing reports; assisting attorneys and staff with document needs (Word, PowerPoint, Excel); and covering for/assisting other department admins.
Previous experience in a Legal Dept or supporting Atty’s is a PLUS!!
For a complete job description – contact diane


Our client is a technology company that operates within the financial services industry, and you will need to be comfortable straddling both of those worlds every day. The right person for this role will enjoy working in the intersection of an emerging sector, seeking creative solutions to traditional problems, introducing technically driven solutions while moving with urgency and focus.

They are looking for a Lending Compliance Officer to join their team based in New York City. You will build and maintain the program, policies, and tools required to support products from a regulatory compliance perspective. You’ll work closely with the product, engineering, and legal teams to ensure that compliance programs and infrastructure complies with financial partner and regulatory obligations.

  • Work closely with product, engineering, and legal teams to design and expand the Company’s products in a way that both delights users and meets relevant commercial lending compliance and anti-money laundering (AML) obligations.
  • Design and implement operational workflows, including tooling, monitoring, and feedback loops, to ensure compliance with relevant commercial lending and AML regulations.
  • Operationalize regulatory compliance program, including, but not limited to compliance with the – Service members Civil Relief Act (SCRA), fair lending laws / the Equal Credit Opportunity Act (ECOA), laws prohibiting unfair or deceptive acts or practices (UDAP), and other U.S. state and federal laws governing commercial lending, loan servicing, and loan brokering.
  • Support the Compliance team in defining and maintaining relevant policies and procedures, documentation solutions, and designing initiatives
  • Ensure relevant requirements are socialized effectively to stakeholders in our legal, product, engineering, and marketing teamsQUALIFICATIONS:
    • 10+ years of work experience working in lending compliance.
    • Experience working with lending programs (including, but not limited to fair lending laws / ECOA, UDAP, SCRA, complaints handling, BSA/AML, and OFAC sanctions).
    • The ability to identify and define problems, build project plans to address them, and manage implementation of their solutions.
    • The ability to effectively communicate across various lines of business and senior management.
    • An ambitious sense of curiosity and a willingness to explore areas outside of your comfort zone, like new markets or new product types.
    • The ability to work efficiently and independently in an ambiguous, fast-paced environment, with the ability to escalate urgent issues when necessary.
    • Experience managing projects of a cross-functional and/or technically complex nature.
    • Respect for and interest in financial rules and regulations, as well as an eagerness to innovate in the spirit of those restrictions.”NICE TO HAVES”
    • CAMS, CRCM, or equivalent certification.
    • Financial compliance, operational, regulatory, or legal experience.
    • Experience working with engineering and/or technical teams.
    • SQL or Excel skills.


Our client is a quantitative/index-oriented investment management firm with $25 billion in assets under management. We specialize in creating and managing customized tax- and risk-managed equity portfolios.

Position Description

The firm seeks a senior quantitative researcher to work on the development and assessment of equity strategies for taxable and tax-exempt investors.

The ideal candidate must be able to address complex tax, factor, ESG and risk modeling problems that arise in both academic and practical contexts.

The job requires consistent, detail-oriented problem solving at a high level, excellent quantitative, programming and system design skills, outstanding communication in verbal and written form and the ability to lead projects and mentor team members.

The role also requires the ability to manage and prioritize complicated sets of tasks, to take initiative and to display responsibility for quality and timeliness of work. The title and compensation will be commensurate with experience.

Research serves 4 functions: to improve portfolio construction process and strategies, to develop new tax, factor and ESG offerings, to create brand-enhancing academic articles and to support marketing and client service.

All members of the research group must display a high degree of technical expertise in mathematical finance and data manipulation to contribute to the team’s mission.

Duties and Responsibilities

  • Management of research projects to deliver solutions to problems posed by internal and external clients
  • Construction and analysis of large, complex data sets to provide answers to research questions
  • Development of solutions to complex problems in quantitative portfolio management, attribution and optimization
  • Creation of informative visualizations of complex data as requested by the team
  • Distillation of client and firm strategy situations into their core financial dynamics
  • Communication of technical issues to both sophisticated and broad audiences

Skills/ Experience

  • Excellent mathematical, finance and statistics skills
  • Substantial experience in Python and Excel
  • Demonstrated track record of delivering answers to complex research questions
  • 7+ years of relevant finance work experience preferred
  • 2+ years as portfolio manager for quantitative factor, tax or ESG strategy
  • Demonstrated initiative, broad perspective and creativity
  • Outstanding communication skills, including experience mentoring team members
  • Familiarity with the challenges of the taxable investor is a plus
  • Extensive experience with portfolio factor models
  • Background in optimization


Associate Portfolio Manager – Marin County 

Our client is a quantitative/index-oriented investment management firm with $25 billion in assets under management. We specialize in creating and managing customized tax- and risk-managed equity portfolios.

Position Description

Looking for a personable Associate Portfolio Manager (APM) to join the Portfolio Management team. The APM will be responsible for portfolio construction and rebalancing as well as investment strategy analysis. The portfolio managers work with leading-edge portfolio risk and optimization technologies. Ideal candidates must have excellent problem-solving capabilities, a high degree of attention to detail, and strong organizational skills. The position requires solid verbal and written communication aptitude and the ability to work directly with clients on complicated tax- and risk-modeling problems. The APM must be able to manage and prioritize multiple tasks in a time-sensitive environment, be able to take initiative, and be comfortable taking on responsibility.

The interview process includes an initial phone interview and an Excel-based test that demonstrates your analytical, problem-solving, and proofing skills. In-house interviews will follow successful completion of those steps. 

Duties and Responsibilities

  • Use quantitative risk models and optimization programs to manage equity portfolios
  • Implement electronic security trades and liaise with brokers and custodians
  • Provide analytic support for client consulting projects
  • Extract and update data from portfolio accounting systems
  • Develop and implement process improvements
  • Maintain and service relationships with clients 

Required Skills/Experience

  • Excellent analytical, problem-solving and computer competencies, with an emphasis on quantitative analysis
  • Strong Excel skills, including mastery of VLOOKUP, pivot tables, etc.
  • Acute attention to detail and proofing
  • Demonstrated initiative, a broad perspective, creativity, and good quantitative intuition
  • BA or BS Degree
  • Two to three years of relevant finance work experience required
  • Knowledge of securities markets, products, behavior
  • Understanding of modern portfolio theory and its application

Desired Skills:

  • Experience with portfolio operations, including custodial relationships, portfolio accounting, performance, and reconciliation
  • Familiarity with multi-factor risk models
  • Prior work experience in a high-net-worth environment
  • Background in client-facing functions
  • Experience with SQL and VBA
  • Ability to work collaboratively in a team environment


Product Manager – Portfolio Management – Marin County RIA 

The Product Manager owns the toolset roadmap for the Portfolio Management and SRI teams, and supports business initiatives to improve efficiencies, reduce errors, and scale processes and systems focused on the Portfolio Management department.  

Duties and Responsibilities
Act as the central point of contact between business users and systems development for both new and existing portfolio management systems, including but not limited to, portfolio optimizers and Socially Responsible Investment (SRI) portfolio construction tools

  • Partner with portfolio managers and developers to improve efficiencies and enhance the usability and user experience of internal portfolio management systems and workflows
  • Document current state processes, perform gap analysis, and guide future state process design to enable scalable growth.
  • Challenge existing processes and drive / implement changes as needed.
  • With a focus on user experience and workflow, capture business requirements and translate and prioritize them into system requirements for developers
  • Maintain product roadmaps for internal portfolio management tools
  • Own the execution governance for the roadmaps, including communication of status and project management for associated projects.
  • Drive adoption of new features and changes to portfolio management system by working closely with QA engineers and organizing user acceptance testing
  • Evaluate and assess the impact of new products or changes to current products to portfolio management systems, and make recommendations for how systems should evolve to align with client needs
  • Analyze and present data to trading, operations, and/or business development
  • Provide support to business users by generating ad-hoc reports, investigating potential issues with data flow, and/or researching the viability of a suggested improvement
  • Optimize the services of our partnered vendors by effectively managing the relationships and their deliverables.

Minimum Experience

  • 5+ years of related experience working in financial services in business process improvement/engineering/project or product management.
  • Bachelor’s Degree in Business, Engineering, or related discipline.
  • Background in portfolio management processes
  • Project management experience
  • Experience working with systems developers on custom software, preferably in an agile environment.
  • Experience with databases and writing simple SQL queries

Desirable Skills

  • Proven ability to re-engineer or improve a process
  • Ability to gather, analyze, and present data
  • Ability to understand a process at a high level, while still drilling into details
  • Have a thorough understanding of process mapping, data collection, data analysis,
    procedure writing, and writing effective requirements documentation
  • Organizational skills to manage data, projects, and processes 



This is a key role that is responsible for advising and consulting executive management on a full range of strategic and tactical Human Resources areas including Compensation, Organizational development, and Talent Management.

This role will be accountable for building best practice HR framework utilizing corporate values in partnership with senior executives.  This HR Business Partner role will collaborate with business areas including the Small & Medium Business Enterprise to ensure effective support in developing and executing plans that optimize HR programs.

Required Experience

  • Requires 7 years minimum prior relevant experience in Human Resources, preferably with specific experience in leading/advising on Organizational Development, Performance and Talent Management.
  • Experience in working in a fast paced environment where you have been the key adviser for executives for Human Resource topics including Learning & Development, Talent Management, Performance and Organizational Development.
  • Ability to manage change and inspire business partners to embrace change.
  • Ability to interact with senior and executive-level management; and to build strong relationships at all levels.
  • Ability to effectively advise, consult, and communicate with executive-level.
  • Excellent communication skills and strong ability to influence and collaborate.
  • Ability to take initiative and make decisions under pressure.
  • Strategic thinking, project management and analytical skills.
  • Adept at utilizing MS Outlook, Word, Excel and PowerPoint.
  • Bachelor’s Degree in Organization Development, Business or HR related field; Master’s preferredSEND RESUME AS AN MS WORD ATTACHMENT TO


The Investment Compliance Manager will be responsible for ensuring compliance with SEC regulations for an SEC Registered Investment Advisor, including supervision of existing controls and development of new controls when needed for all aspects of the compliance program. Other key responsibilities include identifying and documenting regulatory risks and assisting the businesses in developing controls.

This individual will possess a strong understanding of SEC, state and federal securities regulations that apply to RIA and federal banking rules for investment products such as sweep and repurchase agreements

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


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


            • 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
              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.

              QUALIFICATIONS: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

              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 data definitions 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

              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




Our client is the global provider of financial services software and software-enabled services. They have been in business for over 20 years and have built the most comprehensive powerhouse of software technology in the financial services industry – technology that complements their unrivaled expertise and professionalism in fund administration, insurance and pension funds, and asset and wealth management accounting and operations.
For complete JD and information


The Human Capital team is looking for an experienced, team-oriented recruiter to be responsible for the full life cycle of the recruiting process at all levels in the areas of Operations, Client Services, Legal/Compliance, Corporate Finance, and Technology. This highly organized, energetic professional will need to support and reinforce a strong internal customer service culture. We expect all of our team members to be able to “jump in” and support each other in all aspects of the recruiting process.
For complete JD and information


  • Responsible for monthly NAV process: reconciliation, allocations and capital account statements for investor
  • Responsible for maintaining internal books and
  • Responsible for daily trade/cash reconciliation, trade breaks, wires, margin/collateral management.
  • Responsible for annual audit, tax and regulatory filings for onshore and offshore
  • Assist with compliance reporting and maintenance of the operational procedures
  • Work closely with external service providers including prime brokers, custodians, auditors, tax professionals and fund
  • Responsible for portfolio reporting including exposure, returns, composition and analytics reporting.
  • Responsible for preparation of investor requests including audit, tax and other investor specific reporting.


Undergrad or Master’s Degree
10-15 years of accounting
Experience with hedge fund/investment partnership
CPA is a Plus
Strong MS Excel Skills, VBA programming a Plus
For complete JD and information

Our client is a dynamic and growing asset management firm. Their focus is to serve their private clients through customized portfolios and objective, personalized service.

Responsibilities range from providing daily oversight on a wide range of sales, service, administrative and relationship management support delivered by a team of Client Service Associates to participating in the development of firm’s policies and procedures, providing back-up support to the Regional Client Service Manager as a Client Service Manager, and assisting the Client Service Team in client specific projects.

A successful candidate will have a minimum of 5 years’ experience in the financial industry working with high net worth individuals and families and have an enhanced understanding of industry regulations and compliance issues.

Series 7 and 63/65 or 66 required
Series 9/10 or 24 highly preferred (must obtain within 90 days of employment) – For complete JD and information


Our client, a major investment firm in SF, is seeking a dynamic and energetic Technology and Operations Associate who brings a demonstrated aptitude in financial technology tools and a strong commitment to client/consultant technology vendor relationships, to join the Business and Operations Team.  The qualified candidate will be and have the insight and technical skills to manage and build upon existing platforms, recommend and implement new technical platforms and manage current websites


  • 3-5 years in technology focused role
  • Detail oriented
  • Interest in various databases
  • Experience with Salesforce, Seismic, FactSet, eVestment a plus
  • Willingness to learn and ability to switch gears quickly
  • Master at problem solving
  • Bachelor’s degree

For complete JD and information

Sr. Commercial Credit Officer – Palo Alto, SF, or SouthBay – (or Boston)

Responsible for credit quality and credit management of assigned loan portfolio; credit oversight of new loan business; credit approvals within delegated authority; credit underwriting guidance, and collaboration with relationship leadership on broader strategic goals, risk appetite, credit strategy, and credit quality goals. SCO is responsible for enabling loan growth and maintaining good credit quality.


  • Broad knowledge of credit underwriting and loan structuring, with particular emphasis on cash flow lending.
  • Understanding of the Private Equity-backed market and the healthcare services and innovation economies.MBA preferred
  • Travel may be occasionally requiredFor complete JD and information


The leading provider of software solutions and services for the international investment community for Investment managers, broker/dealers, sponsors, and custodians around the world is looking for a Manager – Private Equity Administration to support a broad spectrum of business management and support activities for the PE business new business development and existing client relationships.

You should have an understanding of administration for alternative investment funds – with a focus on private equity, proven communication and presentation skills, the ability to work independently and in small groups and demonstrated experience meeting deadlines.


  • Bachelor’s degree in Accounting, Business Management or related field
  • 5-10+ years’ experience in the alternative assets administration industry – private equity experience a plus
  • CPA designation a plus
  • Knowledge of US Generally Accepted Accounting Principles, with an emphasis on investment partnerships
  • Ability to work independently or in small groups
  • Experience working collaboratively with peers
  • Demonstrated project management skills with the ability to multi-task
  • Excellent interpersonal and communication skills
  • Proficiency in Microsoft Office suite, with advanced Excel skills
  • FIS Investran experience and/or TNR experience a plus
    For complete JD and information

Junior Operations Associate – MARIN COUNTY 

Our client is looking for a Junior Operations Associate who is bright, articulate and has a sense of humor. This is an entry level position and an excellent opportunity for someone interested in gaining experience in the Finance Industry. Ideal candidates will have excellent problem-solving skills, a high degree of attention to detail, and excellent organizational skills. This is a great opportunity to work for a growing investment management firm.

Required Skills/Experience

  • BA/BS required
  • Strong attention to detail and accuracy
  • Excellent written and verbal communication skills
  • Excellent problem-solving and interpersonal skills
  • Strong organizational and multitasking skills
  • Able to work independently and in a small group environment, a collaborative attitude is a must
  • Advanced Microsoft Office
  • A high degree of integrity with the ability to handle confidential matters
  • Able to work in a fast paced environment
    For complete JD and information


    The Compliance Department provides advice and guidance to our business partners regarding the applicability of rules and regulations, advice on policies, procedures and controls, compliance monitoring and assistance with supervisory reviews in order to ensure compliance with all federal and state securities laws and regulations.

    The general purpose of this position is to support the administration, development and execution of the firm’s Compliance Program.  This role will focus on assisting the Compliance team establishing and maintaining a compliance monitoring program that helps identify key risks and control weaknesses.

    The ideal candidate will have previous compliance experience in a high-touch/high-client-experience expectation organization within a registered investment advisor. The Compliance Officer will report to the Vice President of Compliance.


    • Extensive knowledge of the Investment Advisor Act of 1940
    • Strong understanding of operational and regulatory compliance practices in investment advisory businesses
    • Outstanding written and verbal communication skills, with demonstrated ability to effectively build and maintain strong relationships with internal and external business partners.
    • Strong interpersonal skills; good team player; able to work well and coordinate with team members in a high energy and fast pace environment
    • Proficient in MS Excel
    • Familiarity with compliance monitoring applications and trading systems
    • 8+ years of experience in the financial services industry
    • Bachelor’s degree or higher
    • For complete JD and information


    REF 5889 

    The Proxy Analyst & Investment Operations Specialist will be a key member of the operations team primarily responsible for proxy voting and supporting trading in international markets and complex instruments.

    You will play a key role in evaluating and analyzing proxy events, managing operational risk, creating and documenting efficient workflows, and supporting new initiatives for the firm. Work closely with other members of Operations and Technology teams as well as  Analysts, Portfolio Managers, Traders and Client Service Associates.    For complete JD and information Contact

    Sales Operations Manager – San Francisco – Ref 5891

    The Bank provides financial services to the world’s most innovative tech and life science companies and investors, and has exposure to vast amounts of data covering the breadth of the startup and VC landscape. While data has been integral to their growth over the past 30+ years, they are placing an even greater emphasis on being a data-driven organization by establishing the Analytics & Sales Operations Team to support all sales focused aspects of the banking practice.

    Looking to add a highly motivated Sales Operations Manager to lead a team with a quantitative background that enjoys dissecting complex data sets to uncover insights and presenting them to key stakeholders. This position offers the opportunity to lead a team that applies advanced analytical skills to the venture-backed ecosystem and become a subject matter expert to the portfolio of business line they support.

    This individual will work directly with senior leaders at the Bank on a variety of projects to generate company, portfolio and market specific insights that can help the sales teams capitalize on banking and lending opportunities. Furthermore, they will be expected to build out business intelligence tools to measure team performance and help shape corporate strategy. For complete JD and information Contact

    Client Service Specialist  – SF or MENLO PARK
    REF 5892

    Growing investment management firm seeks a full time, experienced Client Service Specialist. This position can work from our Menlo Park or San Francisco office. Position is back-office/admin and typically not client-facing (think: emails/calls with clients and custodians regarding paperwork, not in-person meetings with clients explaining economy and investment portfolio).

    Duties may include but not limited to:

    – Assist with servicing client relationships:

    o Provide client relationship management by monitoring client communications and completing client requests (move money, consolidating accounts, granting website access, etc.).

    o Collaborate with client service team in preparation of client meetings (producing reports, gathering information).

    o Communicate with clients verbally or in writing to inform or answer operational/administrative requests and inquiries and problem resolution.

    o Monitor and initiate service requests with custodians on behalf of client.

    o Assist tasks such as opening and closing accounts, reregistering accounts, stock option exercise, restricted stock deposits, cost basis research, client gifting, processing RMDs, and distributions.

    o Create portfolios in portfolio management system and update CRM (Salesforce) and internal systems with client data.

    – Contribute to Quarter-End client reporting process (producing, reviewing and delivering all client reports).

    – Oversee the correct execution of client service procedures for the firm. Continually research and implement more efficient and effective policies and procedures for client service/reporting expectations.


    • 3+ years of experience in the investment management, brokerage, or investment advisory/consulting industry required.
    • 4-year college degree preferred.
    • Experience working with custodians (Schwab, Fidelity, etc.) and Advent portfolio management software (APX) is a plus.
    • Previous experience in professional client service is required.
    • Have excellent interpersonal skills and excellent verbal and written communication skills.
    • Demonstrates a high level of professionalism with confidential and sensitive information and all clients.
    • Acute attention to detail.
    • Ability to work on complex projects with general direction and minimal guidance.
      • Maintain (first) and grow (second) relationships with financial advisors to educate and promote products and offerings
      • Work closely with outside financial advisors and an internal team of client service, financial planning and investment management professionals to ensure an integrated and superior client sale and service experience
      • Communicate detailed understanding of SMA and mutual fund portfolio positioning to advisory clients and prospects
      • Close prospective clients via meetings and calls, both directly and via relationships with local external Schwab financial advisors
      • Conduct portfolio reviews via phone and in person with advisory clients
      • Co-develop ad-hoc and systematic client communication content and format (e.g. monthly, quarterly, annual updates, white papers, conference calls, events)
      • Deepen and broaden relationships (e.g. existing and new products) with Financial Advisors
      • Serve as a primary contact in executing marketing campaigns to select prospects
      • Frequent local travel required and limited regional travel likelybility to manage priorities and workflow and work independently.
        For complete JD and information Contact

        Client Service Manager & Financial Planner – SCOTTS VALLEY, CA – REF 5893

        Job Summary

        The Client Relations Manager works directly with firm clients to address a variety of needs.  This individual has exceptional interpersonal skills, an aptitude for financial and investment concepts, and the ability to earn the confidence of high net worth clients.   This is an important position within the organization, and the firm’s rapid growth offers plenty of advancement potential for the right individual as we encourage our employees to expand their role within the firm.
        For complete JD and information Contact

        Sr. Client Advisor or Client Advisor – Scotts Valley, CA
        REF 5894

        Client Services/Sales/Marketing Related: 

    • Qualifications:
      • The ideal candidate will have a minimum of 5 years’ experience working in a relevant position within an RIA, asset management or brokerage firm.
      • Prior experience working with Charles Schwab FA’s, specifically involving the Adviser Network referral program.
      • Experience working with other referral programs such as Fidelity Wealth Advisor Solutions and TD Ameritrade Institutional is a plus.
      • Experience working with a team of client facing professionals.
      • Expert knowledge of financial markets, investment products and services is a must.
      • CFP, CFA, or MBA is a plus.
      • Ability to communicate a financial plan to clients.
      • Well versed in the use of all Microsoft Office Applications. Proficiency in Bloomberg also a plus.
        • Solid understanding and experience with UCITS Funds
        • trong proficiency with MS Excel; familiarity with Evestment Alliance, and experience using RFP software such as PMAPS or Qvidian, is highly desirable
          For complete JD and information Contact 


          • Leadership and Management Experience
          • HR Experience
            • Help drive interview process and on-boarding
            • Training and Retention
            • People Development including promotions
            • Improve our recruiting brand
          • Manage, direct and improve the Admin team
          • Business Process Experience
          • Information Technology (IT) oversight, direction-CRM assessment.
          • Real Estate Analysis, alternatives and recommendation
            • Strategically update and analyze key industry databases (e.g. eVestment, Callan, PSN).Partner with portfolio managers and marketing personnel to understand and be able to experience in Managing the Finance Function (not an absolute requirement-nice to have)
                  • Strong financial product knowledge
                  • The candidate must be personable and able to interact well with clients and service providersCFA preferred Bachelor’s degree required. The Trade Settlements Specialist will be a key member of the operations team primarily responsible for day to day operations of our trade settlements function.You will support trading in Asia (Sunday through Thursday) during live hours of 7:00 pm to 3:30 am in San Francisco.The successful candidate will play a key role in managing operational risk, promoting efficient workflows, and supporting new initiatives for the firm.This position requires strong attention to detail, excellent communication skills, and an ability to work in a collaborative team atmosphere.
                    • For complete JD and information Contact  MIDDLE OFFICE  / DATA ANALYST – REF 5897
                      The Middle Office Data Analyst will be a key member of the Middle Office Team, primarily responsible for maintaining fixed income and equity data assets in the security master data system.Ensure the data needed is accurate and available to support the portfolio management process. Responsible for asset data quality and timeliness for front and back office systems, while ensuring compliance checks and trades are executed accurately.Work closely with other members of Operations and Technology teams as well as  Analysts, Portfolio Managers and Traders –  For complete JD and information Contact 

                      Associate Director, Private Equity Fund Accounting
                      REF 5898

                      Associate Director – Private Equity Accounting will lead a team responsible for transaction processing, proper application of accounting principles to complex transactions, and financial reporting, for private equity fund (alternative investment) clients. MUST HAVE PRIVATE EQUITY EXP
                      For complete JD and information Contact

                      Client Service Associate –REF 5899

                       Our client is a federally registered investment advisor managing individually managed accounts and mutual funds. With minimal supervision, this position provides key support the client service team to ensure a high level of client service. We are committed to serving our clients with an exemplary degree of professionalism and compassion.
                      For complete JD and information Contact 

                      Administrative Assistant   – REF 5900 

                      Our client is a federally Registered Investment Advisor who manage individually managed accounts and mutual funds provides key support to the Client Service team to ensure a high level of client service.

                      Excellent opportunity – company offers excellent comp package and growth.  For complete JD and information Contact 

                      INSITUTIONAL SERVICES – Premier SF RIA Firm
                      REF  5902

                      Our client is a federally registered investment advisor managing a mixture of separate accounts and registered mutual funds. This position is responsible for managing and executing on complex projects designed to grow our asset base, with an emphasis on the institutional and professional buyer’s market. 


                      Partner with portfolio managers and marketing personnel to understand and be able to communicate current market conditions, portfolio performance, attribution and market opportunities to clients and prospects.


                      Business Process Experience Information Technology (IT) oversight, direction-CRM assessment.Real Estate Analysis, alternatives and recommendation. Experience in Managing the Finance Function (not an absolute requirement-nice to have)Experience in operational management of a growth organization. Strong emotional intelligence and a sophisticated approach to managing people, often in partnership with senior colleagues who work remotely. Demonstrated ability to be a positive and effective partner across all functions and practice areas. Previous track record in managing and working with distributed teams

                    • 10+ years of investment management product, strategy and positioning experience.
                    • Proven data analysis capabilities to identify market opportunities.
                    • Proven track record of managing multiple projects on tight deadlines.
                    • Project management experience with emphasis on investment management industry.
                    • Experience managing others.
                    • Proven ability to communicate & work effectively with business and technical partners.
                    • Strong understanding of organizational processes and compliance procedures.
                    • Strong conceptual understanding of sales operations, strategic planning, and product

                    Solid investment management knowledge and a passion for the industry.

                    • High level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plus


                    REF 5904 – SAN FRANCISCO

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


                    • 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
                    • Basic knowledge of Corporate Actions


                  COMPLIANCE OFFICER – REF 5907

                  Our client is looking for an experienced, highly skilled Investment Adviser/Investment Company Compliance professional.


                  • Code new and amended guidelines in the compliance system
                  • Validate rule construction and rules coded in the compliance system by other compliance officers and analysts
                  • Collaborate with members of our legal, trading and investment teams to rectify guideline issues
                  • Work with the client facing team to seek guideline clarifications, amendments, and waivers from clients as necessary
                  • Lead the initiative to transition to a new pre and post-trade compliance monitoring system
                  • Perform ad hoc compliance projects


                  • Four year college degree; MBA, JD or CFA Charter Holder a plus
                  • A minimum of ten years of experience in addressing compliance issues within the Registered Investment Adviser and Mutual Fund Industry
                  • Extensive knowledge of Fixed-Income Securities required; knowledge of derivative instruments preferred
                  • Strong ability to review, interpret and code compliance guidelines for fixed income mandates using knowledge of trading and compliance systems (Charles River, Latent Zero, etc. experience required)
                  • Experience with Stable Value mandates strongly preferred
                  • Strong analytical and problem-solving skills as well as excellent written and verbal communication skills



                  Our client is looking for an experienced, highly-skilled, seasoned Executive Personal Assistant to support the Founder and Partner in SF.

                  This position will be 4 days a week 6 hours a day – 10:00 am – 2:00 pm

                  You will be responsible for schedule and calendar management, preparing the Executive for internal and external meetings, collecting information, preparing reports and coordinating all domestic and international travel. For a complete description SEND RESUME AS AN MS WORD ATTACHMENT TO

                  WOODLAND HILLS, CA / AND OR
                  BELLVUE, WASHINGTON – REF 5909

                   *** RELOCATION IS AVAILABLE ***

                  This position is in the Internal Controls Governance (ICG) group.  They mostly audit operational controls to assure compliance with SOX and NAIC MAR (Model Audit Rule).  They will report to the Sr. Audit Manager.  

                  Strong operational audit knowledge as well as a CIA, CPA or CISA designation preferred and will be considered over other candidates.  Experience with a big four or national CPA firm preferred – SEND RESUME AS AN MS WORD ATTACHMENT TO as well as a complete JD.

                • J 

                  OPERATIONS ASSOCIATE  – REF 5911
                  POSITION SUMMARY:

                  The operations associate is crucial to the firm and includes providing material support to the operations team to make sure that the client related operations and other related duties are completed in an appropriate manner. The Operations Associate reports to the Chief Operations Officer and is responsible for assisting with accounting, streamlining work flows, HR and compliance. The individual should have strong attention to detail, excellent analytical skills with the ability to multi task and prioritize work in a fast-paced environment. Strong communication and organizational skills as well as good decision-making skills would prove to be an advantage. Ability to take initiative and manage tasks and handle projects independently from inception to completion are some of the other required qualities. He/she should be comfortable to work in a team as well as function independently.


              Our client is a premier consulting firm in the investment advisory space is seeking a regulatory compliance professional to join its San Francisco team.   Depending on the candidate’s experience, this could be Associate level or a more senior Manager role.


              Broad compliance experience in investment advisory industry, especially private funds (VC, PE, HF).  This would include SEC filings, annual compliance reviews, drafting policies and procedures manuals, etc.

              Client facing experience, service oriented, can multi-task and juggle various client relationships.

              There is minimal travel.  Workday begins at 7:30 am, on site in SF Financial District.

              Looking for good energy, someone who loves the industry, is a good problem solver, and can work independently and also as part of a cross functional team.

              For the Associate role experience is 2-5 years’.  Manager 5+ years.


                 (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 dave@dmstone.comOversee RFP and Business Development Associate role and ensure that RFP/RFI deliverables are in line with firm wide marketing and messaging.Ensure accuracy within the RFP database and draft new language as appropriate.Work with the Director of Institutional Relations to enhance our partnership efforts with senior leaders and business partners to execute on our distribution strategy, demand analysis, product positioning and sales support plans.Coordinate, drive, initiate and execute key business development projects.Contribute to the vision and strategy of the Business Development team as it pertains to firm and product positioning.Series 7 – or able to obtain within 90 days

                Solid investment management knowledge and a passion for the industry.High level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plusHigh level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plusHigh level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plus

                Basic financial and budget modeling

                Review and comment on new and amended client guidelines

    •  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