JOB POSTINGS

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.

DIRECTOR OF OPERATIONS – SCOTTS VALLEY  – REF 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  diane@dmstone.com  5695.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  diane@dmstone.com 5722.pdf

CORPORATE ACCOUNTANT/REVENUE ANALYST (5729) CONTRACT TO HIRE –  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) diane@dmstone.com  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  diane@dmstone.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  diane@dmstone.com  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) diane@dmstone.com  Download 5733.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) diane@dmstone.com Download 5739.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) diane@dmstone.com   Download 5754.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 diane@dmstone.com  5756.pdf

FINANCIAL SERVICES (FFS) LICENSING & REGISTRATION COORDINATOR  – AGOURA HILLS, CA – 5766
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.  Contact diane@dmstone.com for complete job description

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 diane@dmstone.com  FOR JOB DETAILS.

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 diane@dmstone.com  5769.pdf 

ASSOCIATE COUNSEL/COUNSEL (IN HOUSE) –ROSEVILLE, CA-REF 5774

RELOCATION AVAILABLE

The Associate Counsel/Counsel position is responsible for handling day-to-day legal matters in assigned area(s).

  • JD with 2+years legal experience in a financial institution or as outside counsel to banks. Experience required in topical issues of particular legal concern within the Financial Services Industry along with being a member of the California Bar.  Contact diane@dmstone.com  5774.pdf

SHAREHOLDER SERVICES SPECIALIST – REF 5779
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 diane@dmstone.com  5779.pdf 

CORPORATE AND REGULATORY PARALEGAL – REF 5780
The Corporate and Regulatory Paralegal performs and manages corporate and regulatory tasks for the company and its affiliates.  This position assists internal Counsel and works with all levels of the firm’s staff and management to accomplish a variety of legal and business tasks.
Contact diane@dmstone.com  5780.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 diane@dmstone.com for details and job description.

TECHNICAL ACCOUNTING & POLICY ANALYST – SANTA ROSA, CA

CPA REQUIRED – REF 5787

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 diane@dmstone.com for details and job description.

SENIOR ADMINISTRATIVE ASSISTANT – REF 5790

This role will support the Global Head of Risk and Compliance as well as the Global Head of Human Resources.

Ideal candidate is a seasoned professional who has strong experience supporting executives in a fast-paced firm.

  • Proactively manage calendar with minimal direction
  • Organize complex domestic/international travel, as well as expense management and processing
  • Manage incoming correspondence and prioritize competing requests
  • Draft letter and email communications
  • Draft and coordinate meeting agendas and materials; also responsible for transcribing meeting minutes
  • Liaise with other departments on the execution of strategic projects
  • Provide professional phone coverage
  • Maintain efficient filing and organization of correspondence, reports, research data and meeting materials
  • Approximately 75% support to Head of Risk and Compliance and 25% support to Head of Human Resources
    Contact diane@dmstone.com for details and job description.

CLIENT SERVICE ASSOCIATE – SANTA CLARA, CA REF 5792
One of the nation’s largest and most well-known financial planning firms, is seeking a skilled Client Service Associate for their Silicon Valley (Santa Clara, CA) location to provide full support to one or more Financial Planner, ensuring client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards. Series 6 or 7, and 63 (or 66) required.  CONTACT diane@dmstone.com FOR DETAILS

  • US INCOME TAX COMPLIANCE MANAGER – SANTA ROSA, CA – REF 5802
    *** RELOCATION ASSISTANCE BEING OFFERED ***
    *** CPA IS PREFERRED***
    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), Corporate Controllership and the finance organization.  Members of India Office will 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.Manage the submission process of quarterly and annual US GAAP foreign subsidiary tax packages, including:

    • Establish and communicate deadlines for tax packages to be prepared by local country controllers,
    • Oversee the maintenance of non-US entities in OneSource Tax Provision software,
    • Technical review of foreign subsidiary tax packages, and
    • Provide ongoing training for local country controllers.
    • Review the return-to-provision calculation and analysis included with the foreign subsidiary tax packages that is prepared by local country controllers.
    • Review the tracking and reconciliation of deferred tax balances included in foreign subsidiary tax packages.
    • Assist with US GAAP reporting for non-US acquisitions and integration of acquired entities.
    • Review the reconciliation and analysis of tax accounts for foreign subsidiaries.
    • Assist with managing compliance with international SOX controls.
    • Manage the India Tax Team functionally reporting to this role, including providing technical instruction, oversight, and guidance.
    • Maintain knowledge of US GAAP rules and ensure proper application as part of the company’s tax reporting processes.
    • Assist with special projects such as tax research, analysis of income tax consequences of transactions, acquisitions, and divestitures, and projects relating to other business initiatives.
    • Collaborate across the business, the finance organization and the global tax team.       CONTACT diane@dmstone.com FOR DETAILS – SEND RESUME AS AN MS WORD ATTACHMENT TO diane@dmstone.com

      FUND ACCOUNTANT – REF 5805 – TEMP TO HIRE

The ideal candidate we expect should have a strong attention to detail, handle multiple tasks effectively, and enjoy working in a collaborative environment. This candidate will need to handle all aspects of investment operations across multiple asset classes (Domestic/Non US Global/Fixed Income Portfolios). Prior investment operation experience or investment accounting experienced is preferred.

QUALIFICATIONS:

Research and resolve fund accounting issues in a timely and accurate way

Ensure the integrity of performance data

Generate and reconcile daily, monthly, quarterly, and annual bank statements

Maintain ongoing relationship with the custodial bank, vendors, and internal groups

Prepare materials for monthly and quarterly reporting

Undertake special projects as requested

SEND RESUME AS AN MS WORD ATTACHMENT TO  diane@dmstone.com

BENEFITS & LEAVES ADMINISTRATOR – ROSEVILLE, CA – REF 5806

*** RELOCATION ASSISTANCE AVAILABLE ***

You will perform complex administrative duties following established procedures in the following functional areas: Benefits, leave of absence and workers’ compensation and various HR administrative functions.

Leave of absence and Workers’ Compensation Administration

Benefits Administration

QUALIFICATIONS:

4 years related Human Resource experience or Bachelor’s Degree in Human Resources with a minimum of 2 years related Human Resource experience; or equivalent combination of education or experience.

Leaves of Absence and Benefits experience Required

Contact diane@dmstone.com  OR SEND RESUME AS AN MS WORD
Job Description available 

INSTITUTIONAL CLIENT PORTFOLIO MANAGER –
SCOTTS VALLEY  – REF 5807

***RELOCATION ASSISTANCE AVAILABLE**

Fast-growing, focused investment management firm has over $5 billion under management and a top tier investment record. This firm has provided disciplined portfolio management for individuals, retirement accounts, trusts, family offices, corporations, endowments and foundations across separately managed accounts and mutual funds.

You will serve as a primary representative of the investment team when servicing brokerage, RIA and institutional clients of the firm.

Responsible for communicating detailed messaging of our SMA and mutual fund portfolio positioning to the firm’s institutional client base. Must have an aptitude for financial and investment concepts

DUTIES:

  • Maintain (first) and grow (second) aggregate revenues for a select channel of relationships.
  • Conduct portfolio reviews via phone and in person with mid-to-high importance 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 manager research relationships (e.g. existing and new products) with current and prospective institutional relationships.
  • Serve as a senior contact in executing marketing campaigns to select prospects.
  • Work with junior staff to systematically service and prospect relationships.
  • Moderate local and regional travel required with occasional national travel expected.

QUALIFICATIONS:

  • Minimum of 10 years’ experience working in a relevant position within an RIA, asset management or brokerage firm.
  • Expert knowledge of financial markets, investment products and services is a must.
  • CFA or MBA is a plus.
  • Well versed in the use of all Microsoft Office Applications. Proficiency in Bloomberg also a plus.
    Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

CLIENT PORTFOLIO MANAGER AND FINANCIAL PLANNER –
SCOTTS VALLEY  – REF 5809
***RELOCATION ASSISTANCE AVAILABLE***

The Client Relations Manager works directly with firm clients to address a variety of needs.

DUTIES:

  • Portfolio consulting to determine investment allocation across proprietary products
  • Provide comprehensive financial planning advice to high net worth clients
  • Review client performance, needs, goals, and objectives
  • Ability to talk about portfolio holdings in depth
  • Ability to garner additional client assets where appropriate
  • Servicing day-to-day client needs
  • Gathering client data and documenting accounts
  • Drafting correspondence and needs summaries
  • Researching items relevant to client financial needs

QUALIFICATIONS:

  • Minimum of 10 years’ experience working in a relevant position
  • A minimum of 5 years’ experience preferred, ideally in financial services industry
  • CFP designation is strongly preferred but candidates willing to obtain the necessary certifications will be considered
  • Desire/ability to work successfully in a small company environment
  • Series 65 a plus, but not required
    Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

BUSINESS DEVELOPMENT PROFESSIONAL – PALO ALTO – REF 5810

Our client is looking for a results-oriented, sales professional who will be based in their Palo Alto office.

Responsible for identifying new client opportunities, closing new business and expanding the visibility and profile of the firm in Northern California.

Demonstrate an ability 1) to generate individual and corporate client opportunities, and 2) to work in close collaboration with professionals in their Palo Alto office to close these opportunities.

QUALIFICATIONS: 

  • Minimum 7 years’ experience in retail/high-net worth financial services, private banking or related professional sales required, with demonstrated track record of sales success, including independent lead generation;

BA/BS degree or equivalent

Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

FINANCIAL ADVISOR ASSOCIATE – PALO ALTO – REF 5811

Directly support one of client Counselors regarding issues such as:

  • Investment portfolio construction and management; long-term investment strategy
  • Income tax planning, including federal and state tax return preparation and tax dispute resolution
  • Public and private company stock, stock options, restricted stock units, and stock purchase plans
  • Retirement and other forward-looking planning
  • Estate plan architecture; gifting strategies; estate and gift taxes

SKILL SET:

  • One or more of the following credentials: law degree (JD, LLM); advanced tax degree/designation (Master of Taxation, LLM, CPA, EA, CFP); CFA
  • 2-3 years of professional experience in finance, accounting, law, and/or taxation
  • Exceptional interpersonal and communication skills: the successful candidate eventually will work with clients, give group presentations, and participate in new business development
  • Knowledge and experience with individual income tax issues & return preparation
  • Experience serving executive/professional clients and exercising a high level of discretion
  • Completed continuing finance education and licensing requirements (Series 7 & 66; Certified Financial Planner designation)
    Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

FUND ACCOUNTING MANAGER – SF – REF 5812
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.

Responsibilities:

  • 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 

Qualifications:

  • 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 diane@dmstone.com for details – SEND RESUME AS AN  MS Word Attachment

FUND ACCOUNTING MANAGER – SF – REF 5812

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.

Responsibilities:

  • 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 

Qualifications:

  • 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 diane@dmstone.com for details – SEND RESUME AS AN  MS Word Attachment

INVESTOR RELATIONS / CLIENT SERVICE ANALYST– REF 5815

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.

Qualifications

  • 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 diane@dmstone.com for details and job description – send resume as an MS Word Attachment

PROFESSIONAL SERVICES ANALYST – REF 5816

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.

 Qualifications:

  • 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 diane@dmstone.com for details and job description – send resume as an MS Word Attachment

PRIVATE CLIENT ASSOCIATE: CLIENT MANAGEMENT –  LA JOLLA, CA REF 5820

This position provides the opportunity to work as part of a top advisor team at a fast-growing wealth management firm in in La Jolla.

The ability to work in a fast-paced environment and be self-starter is a must to assist senior level advisors in managing a very large and fast-growing book of business.  Specifically, the goal is to maintain all current clients by providing best in class client service and contribute to facilitating bringing new clients on board.  Multi-tasking and prioritizing workload is important.  Must be detail oriented.

You should have extensive experience working with Microsoft Office and financial planning software such as EMoney or Morningstar Advisor Workstation.

Valid S/65 Required.

Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

COMPLIANCE OFFICER– DIRECTOR/VP – REF 5821
The Compliance Department provides advice and guidance to the 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.

Participate in the administration, development and execution of our Compliance Program.  This role will focus on policies and procedures of the RIA.  There will be a specific focus on risk assessments across our business areas, advising business clients on regulations and related compliance policies, and the maintenance and development of compliance policies and procedures in an effort to establish industry best practices.  This role will also be expected to interact with key business people in Management, Legal, Trading, and Operations. 

Previous compliance experience in a high-touch/high-client-experience-expectation organization within a registered investment advisor is preferred.  The Senior Compliance Officer will report to the CCO.
Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

 

REGISTERED SALES ASSISTANT – REF 5824 

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.

DUTIES:

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.

SEND RESUME AS AN MS WORD ATTACHMENT TO diane@dmstone.com

Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

MIDDLE BACK OFFICE ASSOCIATE – REF 5826

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.

DUTIES:

  • 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

QUALIFICATIONS:

  • 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 diane@dmstone.com for details and job description – send resume as an MS Word Attachment

COMPLIANCE ADMINISTRATIVE ASSISTANT – REF 5830

This position supports the Compliance Department, which includes the Chief Compliance Officer, Compliance Officers and Compliance Analysts.  The Administrative Assistant will be responsible for all administrative tasks related to the Compliance function in addition to assisting with the administration of the Firm’s Code of Ethics.

  • Assist in the administration of the Code of Ethics, including:
    • Maintain Code of Ethics files including collecting, scanning and filing employee brokerage statements
    • Follow up with new employees to ensure compliance with new hire certification deadlines
    • Communicate with brokers on new & closed accounts
    • Route and track private placement requests and approvals
    • Prepare closing certification for departing employees/contractors and schedule final certification meeting
  • Maintain Excel spreadsheets, including compliance logs
  • Assist with regulatory filings
  • Assist Compliance with monthly and quarterly compliance checks
  • Research and update voting shares outstanding
  • Edit and proofread compliance reports & documents
  • Coordinate and plan meetings, conference calls and events (including the Annual Compliance meetings)
  • Prepare and handle correspondence, reports, legal documents, presentations, and other documents
  • Maintain and monitor calendars
  • Make travel arrangements and prepare expense reports
  • Perform other clerical tasks, including filing, scanning, copying, and faxing
  • Other analytical and administrative tasks related to the Compliance function

QUALIFICATIONS:

  • Four year college degree preferred; Minimum of five years’ experience in a related position in the financial industry
  • Highly organized, service-oriented, flexible, reliable, proactive and team-oriented career Administrative Assistant
  • Demonstrated ability to manage multiple priorities under pressure and to take independent initiative for action within areas of responsibility
  • Flexible attitude with a willingness to take on new projects; excellent proofreading skills
  • Exceptional written, verbal and interpersonal communication skills, including the ability to interact effectively with other employees and company management
  • High proficiency with Word, Excel, PowerPoint, Outlook, SharePoint and Adobe Acrobat. Additionally, the ability to learn and use in-house database software is required

    Contact diane@dmstone.com for details and job description – send resume as an MS Word Attachment

FINANCIAL PLANNING & ANALYSIS – SR. ADVISOR ROLE –SAN DIEGO – REF 5831

Medical Technology Firm in San Diego is looking for a strong Financial Planning Analyst to support the Sales & Marketing operating expenses in one of their business units.

Based in San Diego, you will serve as finance partner to Finance and Business Senior Management. This position will provide a consolidated view and analysis of relevant information and trends in a complex matrix organization for operations in the US.

DUTIES:

Working with business partners to update monthly forecasts
Assist with monthly close
Provide variance analysis
Assist in the creation of annual budgets
Maintain and distribute monthly reports
Significant use of Microsoft Excel, SAP and SAP BPC
Provide ad hoc reporting and analysis to Finance Management
Interact with colleagues across Finance and Senior Management

QUALIFICATIONS:

BA in Accounting, Finance or a related field; CPA or MBA preferred
Minimum 3-5 years of relevant work experience
Advanced Microsoft Excel skills (Vlookups, Pivot tables, keyboard shortcuts, etc.)
Working knowledge of finance and accounting concepts
SAP and BPC experience preferred
CPA and/or MBA a plus

KNOWLEDGE AND SKILL SET:

Assess accuracy of data based comparisons, determine root cause
Develop an understanding of key business drivers to better predict possible outcomes and impacts
Create simple forecasting and financial models
Attention to detail as well as big picture view
Research variances to determine present and future financial performance and identify trends
Explain own analysis, form conclusions, make suggestions
Coordinate with all levels of management to gather, analyze, summarize, and prepare recommendations regarding financial plans and operating forecasts

Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

COMPLIANCE ANALYST – MENLO PARK – REF 5833

QUALIFICATIONS:

  • 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 rules
    Contact diane@dmstone.com for details and job description – Send resume as an MS Word AttachmentCOMPLIANCE ATTORNEY – MENLO PARK – REF 5834
    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.

    QUALIFICATIONS:

    • 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 preferred
          Contact diane@dmstone.com for details and job description – Send resume as an MS Word AttachmentLICENSED PRIVATE WEALTH ADVISOR  (dmspwa)Proven ability to self-start, take initiative, work collaboratively and drive resultFINANCE ANALYST – WOODLAND HILLS, CA – REF 5836
          Prepare financial reports and analysis for business unit management personnel at all levels. Provide other finance support and special projects as required. Work closely under direct supervision of a senior Financial Analyst or a Finance Manager.QUALIFICATIONS:Bachelor’ Degree in Accounting, Finance or related field required. MBA or financial certification preferredMinimum of 3 years of prior Accounting or Finance experience.Advanced Excel skills including working knowledge of pivot tables, macros and functions.Budgeting and forecastingROI and variance AnalysisBasic financial modelingAd-hoc reports and analysisAbility to communicate with executive leadership
          Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

          ADVISOR, PRIVATE CLIENT SERVICES – CENTURY CITY, CA – REF 5837
          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 diane@dmstone.com for details and job description – Send resume as an MS Word AttachmentRESEARCH ASSISTANT/ADMIN ASSISTANT – ORINDA, CA
          REF 5838DUTIES:Gathering research materials on companies and related industries from a variety of sourcesScheduling calls and meetings and properly managing all logisticsMaintaining updated records of contactsCoordinating all travel arrangementsAssisting with other project oriented assignmentsQUALIFICATIONS:Excellent interpersonal and communication skillsOutstanding organizational and time management skills

          Demonstrated team commitment and strong work ethic

          Pleasant disposition and ability to work in a small company environment

          An eagerness to learn and participate

          Pays close attention to details & specific instructions

          IN-HOUSE CONTRACT RECRUITER – LONG TERM – REF 5839

          You will be responsible for full cycle recruiting for our client who is a prominent Financial Services firm downtown SF.  Must have at least 6 yrs of previous recruiting experience along with a solid track record.

          Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

          OPERATIONS SPECIALIST – OAKLAND, CA REF 5841

          Private and Independent Wealth Management firm is looking for an OperationS Specialist to be part of a two-person office team.

          You will support both in-house and satellite Advisors.

          QUALIFICATIONS:

          • 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)
          • Detail oriented with excellent organization skills and ability to multi-task
          • Ability to work in a fast-paced and deadline oriented environment
          • Strong customer service and relationship building skills
          • Proficient in Microsoft EXCEL and PowerPoint
          • Series 7 and Series 66 or Series 65 or Series 99 preferred
            Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

           

          CHIEF COMPLIANCE OFFICER – SF – REF 5842

          Our client is revolutionizing the financial technology (FinTech) and wealth management industries. They partner with some of the most prominent financial institutions helping them scale and modernize practices to help millions of people better achieve personal and financial goals.  It is an exciting time to be at the intersection of technology and wealth management

          As CCO, you will have ownership and responsibility to ensure compliance with industry rules and regulations an SEC-registered investment adviser and a technology provider to banks, broker-dealers and custodians.

          You will drive and lead efforts to ensure functional areas across the firm design products and operations that are consistent with regulatory requirements. Looking for an experienced Compliance leader with demonstrated experience driving programs, oversight and thought leadership for a technology-focused companies in an evolving industry.

          Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

          AUDITOR – INTERNAL CONTROLS – LOS ANGELES AND WASHINGTON – REF 5843 

          2 POSITIONS AVAILABLE

           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 designation

          Minimum 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 diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

          PROJECT ADMIN SPECIALIST, ASSISTANT VICE PRESIDENT  GARDENA, CA – REF 5844

          Responsible for the research, coordination and management of assigned projects for the business under the direction of division head. Scope of projects may include (but not limited to) simplifying processes, general administrative support, financial reporting and due diligence, development and construction of presentations on various subject matter, improve efficiencies, meet changing business needs, compliance regulatory issues, interface with various community advocate groups, installation or coordination of emerging technologies, new systems and applications etc.

          Bilingual English and Japanese A PLUS!!
          Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

          SR 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.

          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 diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

          FINANCIAL SERVICES SURVEILLANCE ANALYST
          AGOURA HILLS, CA – REF 5847
            

          The Surveillance Analyst will provide support to the Operations/New Accounts and Compliance teams by conducting surveillance and monitoring tasks in support of the firm’s operational and compliance activities.  You will monitor risk areas, via reports/flagged items, email reviews and data mining. The analyses conducted will identify areas to improve front and back end controls, streamline existing and create new surveillance processes.

          QUALIFICATIONS:

          Bachelors degree required or equivalent combination of education and experience.  

          FINRA Series 6 or 7, 26 or 24, 63 or 66.  Series 51 or 53, and other securities exams as required

          **NOTE:  If you have at least a 6 or 7 series then they can be considered and will have to complete the other exams within 90 days.

          2-3 years broker dealer/securities industry experience; preferably with data mining/analysis focus

          4-yr  Degree or combination of education and experience
          FINRA Series 6 or 7 licenses at a minimum
          Broker-Dealer operations; securities industry experience

          Contact diane@dmstone.com for details and job description – Send resume as an MS Word Attachment

           

          NCE AVAILABLE ***   Major bank is seeking a seasoned investment professional in the HNW space.  Bank experience preferred.  Locations:  San Jose, Palo Alto, Santa Barbara, San Diego, Glendale, San Fernando Valley.  Great oppty, compensation, benefits. Contact dave@dmstone.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 dave@dmstone.com

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 dave@dmstone.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 dave@dmstone.com

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 dave@dmstone.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 dave@dmstone.com

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

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 dave@dmstone.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 dave@dmstone.com

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 dave@dmstone.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 dave@dmstone.com

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 dave@dmstone.com

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 dave@dmstone.com

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 dave@dmstone.com

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 dave@dmstone.com

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 dave@dmstone.com

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 dave@dmstone.com