Welcome to the DM Stone site (you’ll notice the new look). Below is a sampling of our open positions. If any interest you, please email the recruiter indicated, including resume attachment (MS Word is preferred) and a brief cover note, including compensation requirements. Full job descriptions are available for qualified candidates upon request. For many jobs you can click on the pdf file link to download the description (for example 5794.pdf). If your browser does not work with our web email links, please cut and paste the indicated address into your email program. You may click www.DMStone.com to visit our home page.
TRADE SETTLEMENTS MANAGER (5679)
You will be responsible for the day-to-day operations of the trade settlements function, including management of the team supporting this aspect of the business. You will be a key member of the Investment Operations team taking a leadership role in promoting efficient workflows, managing operational risk and supporting new initiatives for the firm.
Contact email@example.com 5679.pdf
MARKETING DIRECTOR SMALL BUSINESS – SOUTHERN CALIF (5681)
This role reports to the Head of Retail Bank Marketing and you will manage all acquisition and relationships deepening marketing initiatives for Small Business Deposits, Lending, and Merchant Services. Contact firstname.lastname@example.org 5681.pdf
DATA WAREHOUSE DEVELOPER (5657)
Established Alternative Investment firm is looking for a hands-on individual for the role of Business Intelligence / Data Warehouse Developer within the IT application development team. Contact email@example.com 5657.pdf
INSTITUTIONAL SERVICE ASSOCIATE – SCOTTS VALLEY (5655) Our client is looking for a dynamic, self-starter to make a mark on their burgeoning institutional client relations team.
Contact firstname.lastname@example.org 5655.pdf
DIRECTOR OF OPERATIONS – SCOTTS VALLEY
(5695) This fast-growing, focused investment management firm that has provided disciplined portfolio management for individuals, retirement accounts, trusts, family offices, corporations, endowments and foundations across separately managed accounts and mutual funds for the past 30 years. Job Summary The Director of Operations position will report directly to the Chief Operating Officer and will work with other members of the trading and operations team to address a variety of organization objectives. You will have an aptitude for financial and investment concepts, and work well under pressure. Attention to detail is a must as you will be tasked with oversight and quality control. The Director of Operations is an important position. Contact email@example.com 5695.pdf
CLIENT RELATIONS MANAGER – SCOTTS VALLEY (5696) Investment Management firm, fast growing and very successful is looking for a Client Relations Manager to work directly with firm’s clients to address a variety of needs.
Contact firstname.lastname@example.org 5696.pdf
SR. ACCOUNTING ASSOCIATE WITH CPA (5721) Premier Accounting and Consulting firm is looking for a Sr. Accounting Associate for their San Francisco office. Their litigation support department is renowned for pioneering the litigation support role in complex marital dissolution cases, and they are looking for a talented CPA to join their team. They are looking for someone who enjoys the fast-paced work environment of interfacing with clients and attorneys of a multitude of successful and diverse clientele.
Contact email@example.com 5721.pdf
REGISTERED CLIENT ASSOCIATE MENLO PARK (5722)
Private Wealth Management Firm is looking for an Registered Client Associate with no more that 3 or 4 yrs. experience. The primary function is to provide a wide range of sales, service, administrative and relationship management support to assigned Wealth Advisors and investment professionals across Registered Investment (RIA), Broker-Dealer and Trust or team of same and to be the first point of contact for clients or prospects.
Contact firstname.lastname@example.org 5722.pdf
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) email@example.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 firstname.lastname@example.org 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 email@example.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) firstname.lastname@example.org Download 5733.pdf
IT AUDITOR – ROSEVILLE, CA (5736)
You will be responsible for executing internal audits of business units, key processes, computer systems, and information security controls to determine adequacy of the control structure, mitigation of risks and effectiveness and efficiency of operating processes. Based on candidate experience, this role may also be filled as a Senior IT Audit candidate. (Contact) email@example.com Download 5736.pdf
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) firstname.lastname@example.org Download 5739.pdf
INTERNAL AUDITOR – 5748 – As a member of the Internal Audit team, you will work closely with the Bank’s finance, accounting, compliance, wealth management, and other lines of business to ensure appropriate control design and test control effectiveness across organizational processes. (Contact) email@example.com Download 5748.pdf
Financial Systems Administrator – LAW FIRM EXP – (5750) – This position reports to the controller an supervises an Application Developer – it’s with an established and successful Law Firm in SF. (Contact) firstname.lastname@example.org Download 5750.pdf
ADMINISTRATIVE ASSISTANT FOR FIXED INCOME GROUP WITH STRONG EXCEL AND POWER POINT – (5754) – You will support a team of Investment Analysts, Portfolio and Client Service Managers. Experience with Cloud -based Seismic would be most helpful! (Contact) email@example.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 firstname.lastname@example.org 5756.pdf
FAMILY OFFICE/CLIENT RELATIONS SPECIALIST – REF 5757
The Client Relations Specialist will assist the Senior Director and Client Relations Manager with the provision of services related to banking, insurance, charitable giving, reporting and analysis and other client relations activities.
Contact email@example.com 5757.pdf
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.
Customer service – email/phone contact with agency force and employees. Review Licensing applications, maintenance, and termination issues and make decisions per FINRA and firm rules. Running/creating reports to assist management in decision making. Ad hoc projects as assigned by management
Contact firstname.lastname@example.org 5766.pdf
OPERATIONS ANALYST – SCOTTS VALLEY, CA – 5767 – Perform portfolio maintenance through the use of Advent AXYS. This may include account reconciliation, performance calculations, and database entry. Trading experience; RIA or Brokerage firm experience; familiar with portfolio accounting systems and strong Excel.
Contact email@example.com 5767.pdf
ADMINISTRATIVE ASSISTANT TO INVESTMENT TEAM – 5768 Administrative Assistant to support Global Investment Team in an efficient, detail-oriented, and proactive manner. Looking for a seasoned professional who has strong experience supporting a team of senior managers and executives with global responsibilities in a fast-paced firm. The ideal candidate will also have experience working in a Financial Services company. Contact firstname.lastname@example.org 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 email@example.com 5769.pdf
CLIENT SERVICE MANAGER – 5771 – PALO ALTO AND CENTURY CITY
Dynamic and growing Private Wealth Management firm is seeking a Client Service Manager for their Palo Alto and Century City locations. Responsibilities range from providing daily oversight on a wide range of service, administrative, sales 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 and assistant the Client Service team in client specific projects. Contact firstname.lastname@example.org 5771.pdf
CLAIMS BUSINESS MANAGER – WOODLAND HILLS, CA – 5772
You will work closely with the Property Claims Leadership Team to support them in setting and implementing the Property Claims strategy by leveraging data through reporting and analysis. You will perform sophisticated, comprehensive claims operational data analysis requiring advanced business and analytical skills.
Regularly review data and reach out to stakeholders in other lines of business and the management company. Work closely with Sr. Field Leaders and executive management in own department to set and implement strategy. The position will be responsible for the entire line of business, have supervisory responsibility and report to a Home Office Director or Vice President.
Contact email@example.com 5772.pdf
COMMERCIAL REAL ESTATE LOAN ANALYST – REF 5773
Responsible for overseeing all stages in the Commercial Real Estate loan process, from initial qualification to loan funding. Ensure that all multi-family, commercial, and unsecured loans are analyzed, underwritten, and processed in a timely manner while achieving a high level of customer service. Responsibilities primarily focus on processing and underwriting commercial real estate and construction loans but may include analysis of other loan types including but not limited to unsecured lines, stock secured loans, and complex residential loans.
Extensive experience in underwriting multi-family and commercial real estate loans. Construction a plus. Advanced analytical skills, with a focus on underwriting commercial real estate and client financial data. Familiarity with commercial real estate appraisals. Expert knowledge in Excel.
Contact firstname.lastname@example.org 5773.pdf
ASSOCIATE COUNSEL/COUNSEL (IN HOUSE) –ROSEVILLE, CA-REF 5774
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 email@example.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 firstname.lastname@example.org 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 email@example.com 5780.pdf
M&A ACCOUNTING MANAGER, VICE PRESIDENT – OAKLAND, CA
ref 5783 – The Accounting Manager – M&A Accounting, Vice President reports to the M&A Controller and is responsible for accounting activities related to M&A activity, including due diligence reviews for potential acquisitions and divestitures of existing business lines, purchase accounting for credit impaired loans, as well as participating in goodwill impairment analysis.
- Goodwill Impairment Testing: Participate in the quarterly goodwill impairment reviews as prescribed by ASC 350-20. Coordinate the various Reporting Units financial forecast information to review and challenge the results. Document assumptions and decisions made in the analysis to support the conclusions.
- Month-End Close and Financial Reporting: Oversight for the accounting processes related to acquired loans. Facilitate monthly journal entries and quarterly impairment testing. Research and provide variance explanations in support of the month-end close. Coordinate the gathering of information for SEC reporting, regulatory reporting, management reporting, and tax filings.
Due Diligence and Transaction Support: Provide accounting input to Corporate Development initiatives, including due diligence on potential M&A transactions and internal business unit divestitures. Coordinate work efforts for approved transactions across various finance departments to drive the transaction to a successful completion. Contact firstname.lastname@example.org 5783.pdf
REIG – RELATIONSHIP MANAGER – VENTURA, CA REF 5784
Our client has an exciting opportunity for a Real Estate Industries Group (REIG) Relationship Manager.
You will actively develop and participate in a business development programs to obtain new loans, deposits, and fee-based business.
Cross- sell corporate financial products, including cash management, leasing, and treasury management services with profitability objectives.
Work independently and in partnership with Financial Analysts, and oversee underwriting and structuring loans.
SENIOR AUDIT MANAGER (VICE PRESIDENT), CREDIT REVIEW / CREDIT & COUNTERPARTY AUDIT – SAN RAMON, CA – REF 5785
POSSIBLE RELOCATION ASSISTANCE AVAILABLE
This group independently assesses the effectiveness of the permanent control function (i.e., first and second lines of defense) to identify, measure, monitor, and control risks.
The Senior Audit Manager, Credit Review / Credit & Counterparty Audit (CCA) is fully responsible for and knowledgeable on the day-to-day audit delivery for complex, integrated credit review / audit assignments. The CCA team fulfills the responsibilities of the Credit Review (or Loan Review) function of the Bank, as defined by the 2006 Interagency Guidance on Allowance for Loan and Lease Losses (ALLL). Contact email@example.com 5785.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 firstname.lastname@example.org 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 email@example.com for details and job description.
SENIOR TREASURY COORDINATOR – REF 5788
SF based major law firm is looking for a Senior Treasury Coordinator.
Administer all transactions relating to trust accounts held for client;
Handle all correspondence with banks, including updates of signatories for all bank accounts;
Act as Administrator at various banks handling user setup and/or modifications; initiate or release outgoing wire transfers on all bank accounts;
Reconcile various bank accounts and handle all credit applications for the Firm;
Prepare banking and financial reports and prepare and post journal entries relating to bank accounts and trust accounts;
Prepare daily cash position report and monitor daily all debit transactions and fraud alert items on the general bank account;
Monitor and sweep all brokerage accounts. Contact firstname.lastname@example.org for details and job description.
SENIOR ACCOUNTS RECEIVABLE COORDINATOR – REF 5789
San Francisco prominent Law Firm is looking for a Sr. Accounts Receivable Coordinator for their SF Office.
Send approved wires from the firm General Account, including but not limited to payment to foreign vendors, firm settlement payments, flexible spending, 401(K) wires;
Daily deposits, including application of client checks, researching payments for proper allocation which may include contacting client and/or attorney for information, preparing deposits to send to the bank and reconciliation of deposit to cash listing received daily;
Run and distribute Billing Reminder Statements and reporting and documenting AR System issues and working with IT to resolve.
Contact email@example.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 firstname.lastname@example.org for details and job description.
FINANCIAL ANALYST, WOODLAND HILLS, CA – REF 5791
You will prepare complex financial reports and analysis for business unit management personnel at all levels and provide other finance support and special projects as required.
Bachelor’s Degree in Accounting, Finance or related field required.
Must have passed CPA, CFA or CMA exam or have MBA.
Minimum of 4 years of prior Accounting or Finance experience.
Advanced Excel skills including working knowledge of pivot tables, macros and functions.
Proficient in Access and SAP. You will train financial analyst and work closely with Accounting Manager – Finance in developing reports and models to improve the business operations CONTACT email@example.com FOR DETAILS
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 firstname.lastname@example.org FOR DETAILS
SR. ASSOCIATE – REF 5794
Responsible for the support and enhancement of the compliance marketing and advertisement program as well as daily review of specific materials. The goal of the position is to establish industry best practices and to serve as a valued adviser to business colleagues.
The ideal candidate will have previous compliance experience in a high-touch/high-client-experience-expectation organization within a Broker Dealer and Registered Investment Advisor.
- Solid compliance, operational and risk understanding broker dealer & investment advisory business, specifically around marketing materials and outgoing communications
- Strong knowledge of FINRA rules, the Investment Advisor Act, federal securities regulations and securities industry practices
- Experience with Hedge Fund and Private Equity offering practices and materials
- 5+ years of experience in the financial services industry
- FINRA Series 7 license required, Series 24 preferred or the commitment to obtain within the first 90 days
- Bachelor’s degree or higher
Contact email@example.com for details
PAYROLL ACCOUNTANT – 5797
You will support the Accounting department by recording all payroll related transactions and by serving as the primary liaison between the Accounting department and Human Resources. In this position, you will have an understanding of Generally Accepted Accounting Principles (GAAP), Sarbanes-Oxley (SOX) audit controls and payroll processing procedures.
- Prepare monthly journal entries to record payroll and related transactions from the payroll administrator (Dayforce) to the general ledger account.
- Calculate and prepare accruals for payroll and related transactions for pay cycle cut-off.
- Calculate and prepare monthly benefit, bonus and PTO accruals.
- Record payroll cash transactions (payroll, flex spending account activity, employee expense reimbursements).
- Perform monthly reconciliation and analysis of salary expenses, group benefits, bonus expenses, payroll taxes, PTO, flex spending accounts, manual payroll checks and employee deductions.
- Review payroll processes for compliance with labor and tax laws.
- Ensure accuracy and timeliness of quarterly tax return filing.
- Ensure timely and accurate Federal, State and local quarterly tax filings with Dayforce Tax Services.
- Maintain and update general ledger account structure as necessary to achieve accurate and transparent payroll accounting.
- Develop and maintain necessary procedures and internal controls related to payroll accounting. CONTACT firstname.lastname@example.org FOR DETAILS
FINANCE MANAGER -BUS OPS – Woodland Hills, CA – REF 5798
Assist Accounting Manager–Finance in managing and controlling business unit financial activities. Conduct complex financial analysis and develop reports to provide insight to business operations. Work closely with field management in managing and reporting on special projects. Train financial analysts and senior financial analysts.
Consolidate monthly budget variance analysis and forecasting reports, provide recommendations and present it to Management.
- Consolidate monthly key performance indicator metrics reports and provide analysis on trends and drivers.
- Review and improve financial and business models to provide the business additional insight to make decisions on improving the business.
- Review special projects and initiatives to provide critical feedback to business partners.
- Evaluate annual financial plan for correct linkages to the strategic and tactical business plans
- Prepare ad hoc reports, analysis and conduct special projects as necessary.
- Analyze underlying business factors that drive expenses within the department.
- Conduct financial review of vendors and review Capital Appropriation Proposals.
- Lead process improvement projects. CONTACT email@example.com FOR DETAILS
CLAIMS ANALYTICS MGR – STRATEGY AND REPORTING – REF 5799
WOODLAND HILLS, CA
The Claims Business Manager will perform complex claims operational data analysis requiring an advanced understanding of the business and analytical skills.
Responsible for supporting a department, functional area or may assist with the entire line of business, and may also include supervisory responsibility.
You will be the Subject Matter Expert in own area. You will participate in special projects as requested by management. The position will work closely with Sr. Field Leaders in own department to set and implement strategy
CMA Certification is a PLUS
4-year college degree. Completion of or actively pursuing a major insurance or financial designation.
Minimum of 6 years of prior industry or related experience. Leadership experience is preferred.
Demonstrated advanced analytical and reporting skills.
Technically advanced in using Microsoft Excel, Finance and Business Reporting Systems and developing competency in PowerPoint including VBA and Access
SQL, Ad-hoc report writing and Tableau is a PLUS
CONTACT DIANE FOR DETAILS AND SEND RESUME AS AN MS WORD ATTACHMENT TO firstname.lastname@example.org
LICENSED PRIVATE WEALTH ADVISOR (dmspwa) 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 email@example.com
VP/PERSONAL TRUST OFFICER (dmstrust) Major private bank in SF seeking a senior Trust Officer with 8+ years experience to work with clients in the HNW space. JD, CTFA, or other cert a plus. Great oppty, compensation, benefits. Contact firstname.lastname@example.org
PERSONAL TRUST OFFICER – PATH TO MANAGEMENT (dmstrust2) Small community bank on the SF Peninsula is seeking an experienced Trust Officer who would be promotable to manager. JD, CTFA, or other cert a plus. Growth oppty. Contact email@example.com
AML/BSA DIRECTOR OF QC & TESTING (dmstestdir) Major SF bank is seeking an experienced AML testing professional with strong audit/controls & mgmt background. Also seeking a more junior specialist. Will relo. Contact firstname.lastname@example.org
SALARIED INVESTMENT CONSULTANT – MULTIPLE NOR CAL LOCATIONS (dmssalfc) National brokerage firm is looking for financial sales professionals with 2-3 years experience and Series 7/66. Will be given a book of HNW clients. Locations include SF, Palo Alto, Cupertino, Campbell, Walnut Creek, Roseville. Contact email@example.com
COMPLIANCE ASSOCIATE – RIA (dmscomplassoc) Prestigious SF investment firm. Degree plus 2-3 years experience. Will perform regulatory filings (ADV, etc.), and support compliance team. Lots of growth potential. Contact firstname.lastname@example.org
CORPORATE PARALEGAL – FUND FORMATION (dmsparalfund) Prominent SF law firm. Degree plus 3 years of corporate paralegal experience required, prefer fund formation experience. Contact email@example.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 firstname.lastname@example.org
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 email@example.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 firstname.lastname@example.org
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 email@example.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 firstname.lastname@example.org
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 email@example.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 firstname.lastname@example.org
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 email@example.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 firstname.lastname@example.org
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 email@example.com