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 pa

NEW POSITIONS:

CONTROLLER  – CPA REQUIRED – SF OR PALO ALTO

Successful and innovative Fintech firm that provides a low cost trading platform to US clients and is backed by large tech conglomerates and top global VC firms, these resources are allowing them to develop and launch new business lines using cutting edge technology.

They are looking for someone with experience in broker/dealer operations to be responsible for preparing, reviewing and analyzing financial reports.  The ideal candidate has in-depth knowledge of broker/dealer accounting, auditing and budgeting procedures.

You should be able to monitor daily transactions and recommend ways to improve their financial health. Previous work experience, along with a Degree in Accounting and CPA distinction is required for this role.

Ultimately, you will play a vital role in the company’s financial operations, ensuring compliance with the law and accuracy in accounting.
Contact diane@dmstone.com  for complete job description

PRIVATE CLIENT ADMINISTRATIVE ASSISTANT – SF

Department: Private Client Group Status: Non-exempt
Reports to: Director of Private Client Group and Director of Private Client Services

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

ESSENTIAL FUNCTIONS:

  • Manage outreach, scheduling, and coordination of regular and ad-hoc client meetings.
    · Coordinate internal meetings
    · Assist in meeting material report production and information gathering.
    · Salesforce: Create and maintain prospect and client information, write, and run reports, create tasks.
    · Assist team with account opening documents, data collection, statement gathering and correspondence.
    · Anticipate the needs of other team members to ensure positive client experiences.
    · Coordinate logistics for occasional client events.
    · Assist with quarterly client reporting and distribution.
    · Manage travel & expense reports for team members.
    · Perform office duties including faxing, scanning, managing mail, and occasional phone coverage for department.
    · Manage confidential information with integrity and discretion.
    · Maintain polite and professional communication via phone, e-mail, mail, and in-person.
    · Proactively handle routine tasks and responsibilities in a timely manner.
    · Maintain client files both hard copy and electronic.

EDUCATION
· Experience and/or education equal to a Bachelor’s degree.

EXPERIENCE

  • At least three years of administrative experience, ideally in the financial services industry.

SKILLS/KNOWLEDGE/ABILITIES
· Ability to manage competing priorities
· Above average attention to detail and organizational skills with consistent follow-through.
· Skilled in Salesforce, Microsoft Office Suite (PowerPoint, Outlook, Word, Excel) and Adobe Acrobat.
· Proven ability to multi-task.
· Excellent verbal, written and interpersonal communication skills and a team player.
· Self-directed and resourceful.
· Strong work ethic; prompt, dependable, professional, and personal integrity.

HOURS:
7am – 4pm or 7:30 am -4:30 pm
Contact diane@dmstone.com  for complete job description

PRIVATE WEALTH MANAGEMENT COMPLIANCE ASSOCIATE DIRECTOR  

SF, LA OR NY

The general purpose of this position is to participate and support in the administration, development, and execution of PRIVATE Wealth Management’s (“PWM”) Compliance Testing Program.  Specifically, this role is responsible for ensuring that policies, procedures, and processes are adhered to within the firm; testing results will provide verification that PWM is adequately complying with federal and state regulations.

The PWM Compliance Associate Director will work independently or with other team analyst(s) and associate(s) to complete the scheduled testing of compliance with regulations applicable to PWM. He / She will effectively communicate his / her findings and recommendations and assist with validation projects as they arise. This role is vital to ensure success with internal and external compliance audits and/or regulatory examinations performed by the SEC, FINRA, and FDIC, among others.

  • Develop, plan, and perform compliance tests that independently evaluate the adequacy, comprehensiveness, and effectiveness of Wealth Management’s internal controls.
  • Lead or assist in investigating and reporting issues, as needed: conducting inquires, obtaining and reviewing necessary documents and interviewing team members, compliance, and/or various business units.
  • Identify process and procedural deficiencies and recommend solutions to complex issues.
  • Write reports or presentations that clearly articulate the results and conclusions of compliance testing.
  • Present testing results to the Chief Compliance Officers and other senior executives.
  • Track remediation action plans to final resolution to ensure deficiencies are addressed and resolved adequately and in a timely manner.
  • Validate remediation efforts and results; offer guidance for refinement, if necessary.
  • Maintain an understanding of the compliance division’s framework and the inter-connectivity of its key components.
  • Maintain an understanding of business operations and regulatory guidance and expectations.
  • Anticipate changes in the internal and external environment and assist Head of Testing to enhance the testing program to suit these changes.
  • Manage possible direct reports to successfully perform assigned testing functions to meet team goals.
  • Work collaboratively across groups and with other risk management teams, including Internal Audit and Enterprise Risk Management.Act as ambassador for the team and help promote the culture of compliance.
  • Act as ambassador for the team and help promote the culture of compliance.
  • Develop effective working relationships with team members while distinguishing self as a leader.
  • Assist with Branch Inspections as assigned including, fieldwork, reporting and onsite visits.
  • Develop effective working relationships with team members while distinguishing self as a leader.
  • Assist with Branch Inspections as assigned including, fieldwork, reporting and onsite visits.

QUALIFICATIONS:

Bachelor’s Degree in Business, Finance, Economics, or other applicable business-related discipline.

  • Minimum 8+ years of adviser or broker-dealer compliance, testing or internal audit experience.
  • Management experience.
  • Strong knowledge of federal and state regulatory requirements of a federally registered investment adviser is a plus.
  • Prior participation in industry groups related to Compliance is a plus.
  • Current FINRA registrations (S7, S24) a plus.
  • Detail oriented with strong analytical and writing skills.
  • Proactive and demonstrates strong leadership capabilities.
  • Strong working knowledge of Microsoft Office: Word, Excel, Visio, PowerPoint.
  • Ability to communicate effectively, both verbally and in writing to various audiences, while establishing strong working relationships with individuals and teams both inside and outside of the firm.
  • Solutions-oriented thinker.
  • Ability to identify deficiencies and recommend solutions to complex issues.
  • Ability to intelligently formulate data to visually reflect patterns and trends.
  • Ability to multi-task and successfully meet competing demands.
  • Must be self-starter and able to work with minimal day-to-day guidance.
  • Demonstrates strong (internal) customer service skills.
  • Orientation toward process improvement and the ability to think and work at both strategic and tactical levels.
  • Team player.
  • Provides extraordinary service.

Contact diane@dmstone.com 

Managing Director/Relationship Manager – Private Bank & Wealth Advisory

The Managing Director – Relationship Manager is responsible for leading efforts to build, expand and service banking, credit, investment advisory and brokerage relationships with individuals who are strategic to the Bank.

The ability to develop deep personal relationships, anticipate client needs and become a trusted advisor is essential to success in this role.

Responsibilities include:

  • Servicing a broad range of client financial needs – including banking, credit (mortgage and tailored solutions), planning, investment management and retirement support.
  • Lead clients with a clear and proactive communication approach while acting as a fiduciary.
  • Simultaneously develop strong working relationships with clients and across internal investment channels and banking teams. Engages in business community activities to enhance the Bank’s visibility in target market segments.QUALIFICATIONS:
  • Bachelor’s degree; CFP, CFA or CIMA a plus.
  • 10+ years of private client/private banking experience.
  • Lead deposit, credit and investment portfolio growth efforts in assigned market(s) through broad knowledge of banking, investments, trust services, financial planning and traditional/tailored credit.
  • Demonstrates strong financial planning skill set; develops plan to meet short, medium and long-term client goals. Able to construct and deliver customized portfolio advice along with specific investment recommendations.
  • Accept assets in a manner that complies with operational control procedures of the company. Review all assets to ensure compliance with all policies and procedures.
  • Tracks and monitors client portfolios to ensure full compliance and investment objectives are met.
  • Advanced knowledge of traditional loan underwriting, operations and products.
  • Able to identify, structure and negotiate customized loans, both unsecured and against liquid/illiquid collateral.
  • Maintains good working relationship with key individuals and professional groups in the community, including attorneys, CPAs and insurance experts.
  • A high-touch, client-focused individual with exceptional relationship management and sales skills.
  • Independent contributor, yet highly collaborative with strong team approach. Must be willing to invest in the success of colleagues within immediate team and across the Bank.
  • Experience working with venture and private equity professionals, entrepreneurs and technology executives in the high-tech and life science industries preferred.
  • Organizes team to provide holistic advice across personal balance sheet; effectively delivers core banking, credit and wealth solutions across client segments. Has excellent track record of relationship building; establishes strong, meaningful relationship to differentiate the Bank in the market. Particularly effective at developing and maintaining relationships with key executives (e.g., General Partner) and influencers (CPA, estate attorney, key referral sources).
  • Proven leader; will build, organize, lead and manage a high performing team of Relationship Managers across levels (i.e., Managing Director, and Director). Experience leading and managing teams within the private client area (e.g., private bank, RIA, broker-dealer); ability to build, manage and scale business.
  • Strong understanding of and experience addressing the unique needs and pain points of High Net Worth clients; proven ability to understand and resonate with a broad range of client audiences.
  • Highly skilled collaborator; the Market Manager will work closely with key partners across Global Fund Banking and Venture Capital Relationship Management (VCRM) teams.
  • Reporting and administration require strong organizational and management skills, as the Market Manager is responsible for the performance of their individual portfolio and those for their respective region (manage KPIs, HR, banking compliance).
  • Reports to Head of Relationship Management, Private Bank & Wealth Advisory.
  • FINRA Series 7, 63 and 65 required.
    Contact diane@dmstone.com 

    Market Manager, Private Bank Wealth Advisory – Bay Area

    DESCRIPTION:

    The Market Manager is responsible for leading efforts to acquire, grow and service banking, credit and wealth advisory relationships with individuals who are strategic to the Bank. This role is both an individual contributor and team lead for the Venture and Private Equity practice group in NorCal market.

    QUALIFICATIONS:

  • 12+ years of private client/private banking/advisory experience
  • Lead both investment and credit portfolio growth efforts in assigned market(s) through broad knowledge of investments, banking, trust services, financial planning and traditional/tailored credit.
  • Demonstrates strong financial planning skill set; develops plan to meet short, medium and long-term client goals. Able to construct and deliver portfolio advice along with specific investment recommendations.
  • Tracks and monitors client portfolios to ensure full compliance and investment objectives are met.
  • Advanced knowledge of traditional loan underwriting, operations and products.
  • Able to identify, structure and negotiate customized loans, both unsecured and against liquid/illiquid collateral.
  • Maintains strong working relationship with key individuals and professional groups in the community, including attorneys, CPAs and insurance experts.
  • A high-touch, client-focused individual with exceptional relationship management and sales skills.
  • Highly collaborative with strong team approach. Must be willing to invest in the success of colleagues within immediate team and across the Bank.
  • Experience working with venture and private equity professionals strongly preferred.
  • INRA Series 7, 63 and 65 required.
    Primary Location: Menlo Park

    Bachelor’s degree required; MBA, CFP, CFA or CIMA strongly preferred.
    Contact diane@dmstone.com 

    2 PROJECT MANAGERS – 4 MONTH ASSIGNMENT

    Project description:

    Our client has been asked to implement a lightweight Asset Management solution for our client in the East Bay. While addressing all phases of the Asset Life Cycle, the main goal will be to enable the service provider to relate Assets to customers, relate customers to compute assets and integrate with existing Incident management and Change management processes.

    Key tasks will be to develop a requirements definition document, create process and data model designs and roll these out into the organization. An important part is to determine what tools are available in-house, what gaps exist and how to best fill those. Installation of new tools are out of scope. Use of tools is not.

    We anticipate the job to be about 13 weeks spread over 4 months.

    PROCESS ANALYST:

    This role will be responsible for driving the Asset Management Life Cycle requirements definition document, design the required processes per life cycle phase and drive the roll out and communications.

    ITIL, and specific Asset Management process deployment experience is key in this lightweight implementation project. The ability to gather and synthesize key information is a must.

    DATA MODEL AND TOOLS SPECIALIST:

     This role works with the Process analyst to represent the technology aspects required to make this Asset Management Life Cycle project a success.

    Aside from determining what the data model should look like, key tasks will be to determine what existing technology can be leveraged, what new tools should be considered and determine the best integration methods as needed.

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

    PORTFOLIO ACCOUNTANT – SF

REQUIRMENTS:

  • CPA
  • Minimum 2 years of hedge fund tax experience within the asset management group of a large public accounting firm, additional relevant industry experience a plus, but not
  • Advanced Excel skills

FOR COMPLETE JD’S AND ADDITIONAL INFORMATION, 
Contact diane@dmstone.com

COMPLIANCE MANAGER – SF

The general purpose of this position is to support the administration, development and execution of the Investment Management’s Compliance Program.  This role will focus on assisting the Compliance team with conducting risk assessments across the business, third party manager reviews as well as assisting in the general administration of the compliance program.

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

The Compliance Manager will report to the Vice President of Compliance.

QUALIFICATIONS

– Understanding of compliance, operational and risk understanding investment advisory business

– Strong working knowledge of the Investment Advisor Act, federal securities regulations and securities industry practices

– Excellent client focus, accurate and logical problem solving, and strong written and verbal communication skills

– 5-8 years of experience in the financial services industry

– Bachelor’s degree or higher

– Must be able to review and analyze data reports and manuals; must be computer proficient.
FOR COMPLETE JD’S AND ADDITIONAL INFORMATION, 
Contact diane@dmstone.com

TRADER & OPS ANALYST; COMPLIANCE ANALYST AND INSTITUTIONAL ASSOCIATE – LOS GATOS, CA

THREE EXCELLENT OPPTY’S AT A SUCCESSFUL AND ESTABLISHED RIA.

INSTITUTIONAL ASSOCIATE
COMPLIANCE ANALYST
TRADER AND OPS ANALYST

FOR COMPLETE JD’S AND ADDITIONAL INFORMATION, 
Contact diane@dmstone.com

TAX ACCOUNTANT – SAN FRANCISCO

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

INVESTMENT COMPLIANCE MANAGER W/RIA – SF

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
Contact diane@dmstone.com FOR COMPLETE JD AND DETAILS

STAFF ACCOUNTANT – SF – REF 5929

Staff Accountant is responsible for all billing of customers, recording of invoices, collection and recording of receipts, accounting for sales accruals, oversight and review and support for purchasing and inventory functions. These functions allow the Company to record its sales to customers and any returns, collect and record receipts to support the Company’s operating expenses, and procure inventory for sale and measure their costs to help the Company determine its profitability.

EXPERIENCE

  • Basic GAAP accounting knowledge a MUST
  • Experience with Oracle or other ERP software a PLUS
  • Intermediate to advanced knowledge of Excel including familiarity with VLOOKUPS, formulas, macros, etc.EDUCATION AND TRAINING
    • 1-2 years of Billing/Accounts Receivable experience, preferably at companies which sell physical products.
    • 3-5 years of relevant business experience
    • Equivalent of bachelor’s degree from an accredited college or university, or approximate equivalent amount of course work, with a record that demonstrates suitable preparation for this position.

    Contact diane@dmstone.com FOR COMPLETE JD AND DETAILS

ASSOCIATE MANAGER, VENTURE CAPITAL FUND ACCOUNTANT – REF 5927

The Associate Manager will participate in a broad set of business activities supporting the VC business management, new business development and existing client relationships.

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

  • Assist with business financial analysis
  • Review actual results, prepare analytics, comparison reporting
  • Revenue tracking and forecast
  • New business pipeline reporting and analysis
  • Client profitability
  • Assistance with maintenance of internal systems and databases
  • Aggregation, maintenance and reconciliation of  key business and client metrics
  • Industry research and metrics
  • Demonstrated knowledge of accounting
  • Participate in new client business analysis with prospects and existing clients
  • Review fund governing documents, offering documents
  • Develop fee models and deal financial analysis
  • Develop content for presentations
  • Assist with preparation of presentations
  • Assistance with Request For Proposal (RFP) responses and document management
  • Participate and support VC business initiatives and projects
    • Efficiency initiatives
    • Operational initiatives
    • Technology
    • New services and capabilities
    • Geographic
  • Develop / maintain internal VC business reporting calendar
  • Help develop and support targeted, continuing education programs
  • Support corporate goals and business/departmental initiatives

Job Skills/Requirements:

  • Bachelor’s degree in Accounting, Business Management, or related field
  • 7-10 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
  • Proficiency in Microsoft Office suite, with advanced Excel skills
  • FIS Investran experience and/or TNR experience a Plus
    Contact diane@dmstone.com FOR COMPLETE JD AND DETAILS

TRADE SERVICE OPERATIONS COMPLIANCE MANAGER –
MONTEREY PARK, CA – REF 5926

SUMMARY:

The TSO Compliance Manager provides oversight for the Trade Service Operations Compliance functions. The role requires a deep understanding of sanctions compliance including BSA/AML, OFAC and Anti-boycott. The position requires a strong understanding of all international Trade Finance products and documentation including, Import, Export, and Standby Letters of Credit, and International Collections.

The TSO Compliance Manager will be responsible for the building and maintaining the overall framework for the Trade Service Operations Compliance program. Responsibilities will include:

  • Lead a team of 10-12 Trade Finance Compliance associates performing –  First Line of Defense reviews of escalated Trade Finance transactions.
  • Oversee the daily monitoring and resolution of BSA/AML, OFAC and Anti-boycott issues escalated from the Trade Service Operations processing    teams.
  • Develop and maintain the overall Trade Finance Compliance Quality Assurance Framework.
  • Monitor Trade Finance Sanctions watch lists program to ensure TSO applications are regularly updated with current watch lists.
  • Maintain, report and periodically review compliance performance metrics, including identifying Key Risk Indicators and Key Performance Indicators.
  • Liaison with Global Financial Control Division, Business Unit Risk Management, America’s Compliance Division and Global Trade Finance to ensure ongoing compliance with all applicable policies and procedures.
  • Develop and implement efficient and effective compliance programs for the Trade Service Operations Control and Monitoring team.
  • Develop, recommend, and implement effective compliance strategies, policies, and procedures.
  • Ensure that the Trade Service Operation maintains compliance with federal and state laws and regulations and ensure that line managers are adequately informed.

QUALIFICATIONS:

  • Minimum of 10 years of related experience in Commercial Trade Finance products, international products, international operations, auditing, or other significantly regulated areas of banking.
    Contact diane@dmstone.com FOR COMPLETE JD AND DETAILS

Private Client Administrative Assistant – SF – REF 5925

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

Manage scheduling and coordination of regular and ad-hoc client meetings via e-mail and phone.

  • Produce client meeting materials utilizing PowerPoint, Word, Acrobat and Salesforce and prepare bound reports and printed decks. Salesforce: Create and maintain prospect and client information, write and run reports, create tasks.  Maintain client files both hard copy and electronic
  • Perform office duties including faxing, scanning, managing mail, and occasional phone coverage for department. Anticipate the needs of other team members in order to ensure positive client experiences.
  • Coordinate logistics for occasional client events.
  • Assist with quarterly client reporting and distribution.
  • Manage travel & expense reports for two team members. Manage confidential information with integrity and discretion.
  • Maintain polite and professional communication via phone, e-mail, mail and in-person.
  • Proactively handle routine tasks and responsibilities in a timely manner.
  • Assist team with account opening documents, data comparison, statement gathering and correspondence.

Experience and/or education equal to a Bachelor’s degree.

EXPERIENCE  At least five years of administrative experience, ideally in the investment management industry.

Superior computer skills including advanced MS Excel, MS Word, PowerPoint, Outlook, Adobe Acrobat and Salesforce.

Excellent telephone etiquette and ability to manage competing priorities i.e. calendar management. Contact diane@dmstone.com FOR COMPLETE JD AND DETAILS

M&A ASSOCIATE, CORPORATE DEVELOPMENT – FINANCIAL INSTITUTIONS GROUP (FIG) – SF – REF 5923

Qualifications:

Requirements:

  • Must have Financial Institutions Group (FIG) experience.
  • A. / B.S. degree in Business, Finance and/or Accounting is required. MBA, preferably from a top university is helpful.
  • 3 or more years of direct work experience in quantitative and qualitative analysis from an investment banking, private equity/venture capital or management consulting firm.
  • Possess strong financial modeling and work ethic to be successful.
    Contact diane@dmstone.com FOR COMPLETE JD AND 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   

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.,

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


    Operations and Accounting Analyst – LA – REF 5862

    Responsibilities:

    • 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 diane@dmstone.com 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 diane@dmstone.com

CLIENT SERVICE ASSOCIATE  (MULTIPLE LOCATIONS) – WALNUT CREEK, WOODLAND HILLS, PASADENA AND ANAHEIM, CA – REF 5863 

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
 Contact diane@dmstone.com

CONTROLLER – PALO ALTO – REF 5874

  • 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.

QUALIFICATIONS:

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
 Contact diane@dmstone.com

CLIENT SERVICE MANAGER – SF OR PALO ALTO – REF 5876
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
 Contact diane@dmstone.com

TECHNOLOGY AND OPERATIONS ASSOCIATE – SF – REF 5878

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

Qualifications

  • 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
 Contact diane@dmstone.com

MANAGER PRIVATE EQUITY ADMINISTRATION – SF REF 5882

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.

QUALIFICATIONS:

  • 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
     Contact diane@dmstone.com




    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 diane@dmstone.com

    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, re  registering 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.

    Qualifications:

    • 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 prospectsFrequent local travel required and limited regional travel likelybility to manage priorities and workflow and work independently.
          For complete JD and information Contact
          diane@dmstone.com

                    • 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. 

                      DUTIES: 

                      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.

                      QUALIFICATIONS:   

                      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

                      • 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

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

                    EXECUTIVE PERSONAL ASSISTANT TO FOUNDER AND PARTNER BOUTIQUE INVESTMENT FIRM REF 5908 

                    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 diane@dmstone.com

                    SENIOR AUDITOR – INTERNAL AUDITING GROUP
                    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 diane@dmstone.com as well as a complete JD.

                INVESTMENT ADVISORY COMPLIANCE CONSULTANT (MANAGER OR ASSOCIATE)  REF 5912

                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.

                DUTIES:

                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.

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

                INVESTMENT OPERATIONS ANALYST – MARIN COUNTY RIA FIRM – REF 5913

                Looking for an entry level Investment Operations Analyst with excellent problem-solving skills, a high degree of attention to detail, and strong organizational and analytical skills. This is a great opportunity to work for a growing investment management firm. The position requires strong analytical and communication skills. The Investment Operations Analyst will have good excel and database skills and must be able to manage and prioritize multiple tasks.

              • Duties and Responsibilities
                • Daily monitoring and reconciliation of separately managed accounts between firm’s portfolio accounting system and firm’s external custodians
                • Communicate with custodians, banks, brokers and vendors to resolve issues related to daily processes, data delivery, trade settlement, etc.
                • Work on miscellaneous projects to streamline operations, automate processes, and reduce errors
                • Help set up new intermediaries, custodians, platforms and interfaces
                • Help maintain security master, trading restrictions and various financial account information
                • Respond to various external and client requests in a timely and professional manner: reporting, valuations, analyses, etc.
                • Respond to various internal requests typically from client onboarding and portfolio management
                • Various monthly and quarterly closing processes
                • Other duties as assigned
                • Desired Skills and Experience
                  • Bachelor’s Degree required preferably in business, math, finance or related field
                  • 1-3 years of relevant work experience at an investment management firm
                  • Portfolio accounting and performance experience
                  • Good understanding of financial markets required
                  • Strong proficiency with Microsoft Excel required
                  • Ability to prioritize and manage multiple tasks required
                  • Strong verbal and written communication skills required
                  • Organizational skills to manage data, projects, and processes
                  • Knowledge of Fiserv, Advent APX, Salesforce, VBA, SQL a plus

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

                  COMPLIANCE COUNSEL – SANTA ROSA – REF 5920

                • RELOCATION AVAILABLE
              • Job Qualifications
                • JD degree and active membership in at least one U.S. state bar.
                • Minimum of 4-6 years’ experience, including substantial experience in internal investigations, privacy and data protection, and/or commercial litigation.
                • Excellent written and oral communication skills.
                • Sound judgment and ability to analyze complex situations.
                • High degree of professional ethics and integrity.
                • Excellent project management and organizational skills.

                IDEAL CANDIDATE
                Candidate must have a few years of in house experience and a few years in a law firm. Would like to see both a mix of corporate and firm experience along with compliance. FOR COMPLETE JD AND INFORMATION SEND RESUME AS AN MS WORD ATTACH TO diane@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

SERVICE WEALTH ADVISOR (dmssvcwealthadv) Prestigious and growing investment advisory firm in the East Bay is seeking an experienced CFP service advisor with investment knowledge 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.   Also have opportunities in SF.  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

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