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

SENIOR COMPLIANCE ASSOCIATE – SF INVESTMENT FIRM

 This position is based in  San Francisco, California office with a hybrid model of 3 days/week in-office and 2 days/week remote. Reporting to the chief compliance officer, the senior compliance associate is responsible for the administration of the annual compliance testing programs, the vendor management program, the compliance calendar, and other tasks as assigned. This person works closely with key stakeholders across the organization including the sales and marketing, investment, technology, and operations teams as well as third party vendors.

Key Responsibilities

  • Compliance Testing – Manage the administration of the annual compliance testing program, which is part of the annual compliance assessment. Lead and conduct forensic, periodic, and transactional testing to ensure compliance with all applicable state, federal and self-regulatory agency requirements.
  • Project Management – Lead and participate in projects requiring interaction with other staff and departments to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls.
  • Involvement in the setup and testing of compliance rules and restrictions within internal systems. Review and verify the accuracy of account setups.
  • Assist in the development, implementation, and maintenance of comprehensive compliance program controls and tools including the compliance manuals and other policies and procedures.
  • Vendor management – Work with third party vendor to manage the vendor management program to ensure that vendors are reviewed promptly and that any concerns are escalated and addressed properly.
  • Manage the compliance calendar and update it as required. Ensure that tasks are completed on time and follow up with other staff as needed. Escalate any past-due items to the Deputy CCO or the CCO.
  • Assist with projects and initiatives involving technology and data to develop, enhance, and automate compliance processes and test systems. Serve as resource to management for technology-related projects. Utilize available technology to enhance the Compliance Department and aid in efficiency.
  • Present complex information in a professional and easy to understand manner through written materials or presentations for a wide variety of audiences.
  • Keep abreast of changing regulatory requirements.
  • Implements and supports the department’s strategic direction, vision & mission in alignment with the Company’s strategy.
  • Responsible for visibly supporting the Company’s business initiatives and the initiatives of other departments.
    Experience
  • 5+ Years of experience with Compliance or a related field such as internal audit.
    • Advise and consult on all HR matters including managing new employee onboarding and off boarding processes – offer letters, background checks, termination processes
    • Coordinate with COO on payroll matters
    • Manage a staff of 5 Administration personnel
    • Manage company expense process, travel approvals, and ensuring compliance with the T&E
    • Manage company vacations and leaves, ensuring compliance with the leave
    • In coordination with the COO, supervise administrative staff
      • Advise and consult on all HR matters including managing new employee onboarding and off boarding processes – offer letters, background checks, termination processes
      • Coordinate with COO on payroll matters
      • Manage a staff of 5 Administration personnel
      • Manage company expense process, travel approvals, and ensuring compliance with the T&E
      • Manage company vacations and leaves, ensuring compliance with the leave
      • In coordination with the COO, supervise administrative staff

Ability to interpret and monitor compliance with federal, state, and local employment laws A PLUS and monitor compliance with federal, state, and local employment laws  A PLUSxperience with and understanding of investment products including mutual funds.
Contact diane@dmstone.com For information

OFFICE  FINANCE MANAGER

JOB SUMMARY

Full-service Office Finance Manager and Administrator, responsible for all aspects of running the office and assisting the team. This firm is a driven, focused, highly collaborative, and team-oriented firm that strives for best-in-class business practices across the firm. The Office Manager should be highly service oriented with a focus on ensuring all business processes are tightly controlled and very organized. This hands on and detail-oriented person will be the go-to person for the team.

Responsibilities:

  • Advise and consult on all HR matters including managing new employee onboarding and off boarding processes – offer letters, background checks, termination processes
  • Coordinate with COO on payroll matters
  • Manage a staff of 5 Administration personnel
  • Manage company expense process, travel approvals, and ensuring compliance with the T&E
  • Manage company vacations and leaves, ensuring compliance with the leave
  • In coordination with the COO, supervise administrative staff
  • Ability to interpret and monitor compliance with federal, state, and local employment laws A PLUS
  • Ability to maintain firm benefit plans
  • Maintain relevant business licenses, pay annual fees and assist with any filings
  • Maintain office contingency & disaster recovery plan
  • Manage accounts payable, vendor relationships, reconcile credit card bills, reconcile management company bank accounts, ensure all payables are paid in a timely manner
  • Coordinate with the CCO to manage employee compliance system, including personal trading and holdings review, annual compliance affirmations for firm and other material for annual review
  • Manage technology related tickets, issues, and requests with the outsourced technology vendor
  • Assist with other technology projects, cyber security initiatives, employee trainings, DR testing

    Qualifications:

    • Proven office management experience
    • Experience with technology and systems (especially QuickBooks), Microsoft Teams, Microsoft O365 Suite, Adobe, (GL accounting a plus)
      Contact diane@dmstone.com For information

ASSOCIATE DIRECTOR MARKETING COMPLIANCE

The Audit, Risk, Compliance and Legal groups support the firm’s business objectives by systematically improving the effectiveness of its risk management, control and governance processes. We own and administer these processes while educating our colleagues to best support them. Our mission is to promote a culture of compliance and to be the best partner we can to our business stakeholders.

Organizational Objective/Purpose:

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

Brief Description of Role:

The general purpose of this position is to assist with the advertising/marketing compliance review function of investment management and securities group.   This position will also be advising the business on regulations and related compliance policies, maintaining and helping to develop marketing compliance policies and procedures to help establish industry best practices around marketing and communications. This role may also assist in the general administration of their compliance program.

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

The Compliance Officer will report to the Director of Marketing Compliance.

Specific Responsibilities:

  • Timely review of proposed advertising and marketing materials across multiple formats to ensure compliance with regulatory guidelines and best practices
  • Maintenance and development of compliance policies and procedures around Marketing Materials, and Communications as needed due to changing regulations
  • Educate and train staff on firm marketing policies and procedures
  • Proactively identify and champion opportunities to improve compliance efficiencies and minimize risks
  • Perform risk assessments across the firm to identify gaps and strengthen controls
  • Perform general compliance projects and tasks
  • Gather and manage data for enterprise reporting purposes

Qualifications:

Solid compliance, operational and risk understanding investment advisory & broker dealer business, specifically around marketing materials and outgoing communications

  • Strong knowledge of the Investment Advisor Act and strong working knowledge of FINRA, federal securities regulations and securities industry practices
  • Excellent client focus, accurate and logical problem solving, and strong written and verbal communication skills
  • Good team player; able to work well with team members as well as various business units and their representatives
  • Self-motivated. Ability to work independently, on multiple deadline-orientated tasks in a high energy environment, and prioritize based on regulatory/operating risk and business needs
  • Strong interpersonal skills; able to work with all levels of staff and Management.
  • Build and maintain good relationships with internal and external business partners.
  • Good organizational and time management skills. Ability to work under pressure and deliver assignments on schedule
  • 5-8 years of experience in the financial services industry
  • FINRA securities license 24 preferred
  • Bachelor’s degree or higher
    Contact diane@dmstone.com For information

MARKETING MANAGER

The Marketing Manager is a critical role in driving brand awareness, new business acquisition, and enhancing the client experience.

Looking for proactive, creative team members who are self-starters, value collaboration, have a passion for smart marketing, and can think both strategically and tactically. This position will play a key role on the Marketing team in support of the overall business, including driving growth in the Private Wealth and Institutional channels.

Marketing focuses on three key areas: content, digital, and data. This individual will work across the organization to support marketing plans that drive brand and product awareness, website traffic, client engagement and lead generation. Marketing touchpoints include email marketing, presentations, marketing collateral, videos, RFPs/DDQs and databases, websites and social media, paid and earned media, and virtual and in-person events. This role reports to the Head of Marketing.

RESPONSIBILITIES

  • Lead digital marketing initiatives from planning through execution
  • Create marketing assets/materials and manage all facets of execution needed for marketing plans, including the development and editing of marketing content, and dissemination across digital channels and marketing materials
  • Works with subject matter experts to develop content and thought leadership
  • Manage end-to-end marketing collateral maintenance for investment strategies and funds (collateral includes presentations, fund overviews, commentaries, event materials, etc.)
  • Supports and executes email marketing campaigns, including template design, list segmentation, and A/B testing
  • Coordinates and manages conferences, events and webinars, including developing and preparing agendas, securing speakers, giveaways, presentations, and other collateral as needed
  • Tracks results of marketing programs, including digital, social media, and campaigns, and reports on marketing analytics to business leadership
  • Coordinate the compliance review process of various marketing materials
  • Stays abreast of marketing and industry trends, and makes recommendations to most effectively market and drive business
  • Operates independently and proactively meets deliverables and deadlines
  • Partners on other marketing projects for all areas of the business and collaborate with all business and marketing peers on marketing efforts as assigned, ensuring effective collaboration on enterprise-wide initiatives

QUALIFICATIONS:

  • 5+ years of relevant marketing experience; financial services experience preferred, but not required
  • Bachelor’s degree required
  • Digital marketing experience is strongly preferred
  • Exceptional project management and organizational skills with the ability to work in a fast-paced environment
  • Results-driven, high-performing individual with excellent attention to detail
  • Strong written/oral communication and interpersonal relationship skills
  • Proficient with Adobe Creative Suite (InDesign, Acrobat) and Microsoft Office Suite (PowerPoint, Excel, Word)
  • Experience with marketing automation and email marketing tools a plus (Salesforce, Pardot, WordPress, Google Analytics
    Contact diane@dmstone.com For information

Junior Accountant  – OAKLAND, CA

Opportunity for an entry level Junior Accountant who wants to grow their career with a forward-thinking award-winning small business lender.  Our client is one of the top small business lenders in the country and is a “Best Places to Work” award recipient in the Bay Area for the 5th time!

Responsibilities

  • Input accounts payable into Bill.com and QuickBooks. Obtain approval on invoices when needed. Process payments in Bill.com, based on due date. Maintain A/P files. Follow up on vendor issues and questions.
  • Refund client deposits monthly.
  • Invoice clients for any outstanding fees. Follow up on outstanding invoices with clients.
  • Record client deposits, lender fee payments, and loan origination and servicing fees. Prepare daily bank deposits and prepare cash transfers as needed.
  • Prepare monthly bank account reconciliations.
  • Reconcile company credit card statements monthly.
  • Issue year-end 1099’s.
  • Assist with annual financial audit, including providing requested documents to the auditors and other audit requests.
  • Assist with annual SBA report.
  • Provide backup support to phones and Office Manager.
  • Provide notary services for the servicing and closing department.
  • Provide HR Administrative support as needed.
  • Additionally, any other duties are needed to help drive the company’s vision, fulfill its mission and adhere to company’s core values.

Qualifications

  • Bachelor’s degree (B. A.) in Accounting from four-year college or university; and/or 2+ plus years related experience and/or training; or equivalent combination of education and experience.
  • Organized, disciplined thinker with ability to work independently in fast paced, rapidly changing environment;
  • Excellent time management and project management skills; must be able to track and manage details for projects/tasks, and prioritize against daily responsibilities;
  • Excellent attention to detail without compromising deadlines;
  • Strong people and communication skills are essential.  Must interact productively with many different types of personalities and work levels;
  • Excellent phone etiquette and customer service skills;
  • Strong written communications and email etiquette skills;
  • Proficient in MS Office applications – Word, Excel, PowerPoint, Outlook, Expensify, Bill.com, QuickBooks Desktop, and QuickBooks Online.
    Contact diane@dmstone.com For information

Fund Accountant

An SEC-Registered Investment Adviser (the “Firm”) seeks a full-time fund accountant for its Los Angeles office who will be responsible for day-to-day fund accounting, financial reporting and portfolio analyses.  The fund accountant will interact directly with the Firm’s operations and accounting, investor relations, trading, prime brokerage and fund administration personnel on a daily basis.  In addition to fund accounting and analytical skills and substantive work experience, the ideal candidate must possess an optimistic attitude, a high degree of independence, good teamwork, an ability to thrive in a fast-paced environment and a willingness to contribute however and wherever possible.

Firm Background:

  • Manages a multi-billion-dollar credit-focused strategy across a variety of vehicle structures
  • Has offices in Los Angeles and New York
  • Offers full benefits, 401(k) matching and discretionary bonuses

Responsibilities:

  • Perform daily, monthly and quarterly closing and reconciliation between the fund administrator, custodian, prime brokers and the Firm
  • Review and prepare full internal-shadow accounting: balance sheet, income statement and NAV calculation (income and expense accruals)
  • Review and reconcile NAV packages from the fund administrator, including management and performance fees, P&L, RORs and monthly statements
  • Responsible for fund and investment performance tracking, like monthly reports to investors, and internal constituents (analysts, portfolio managers, investor relations)
  • Review of annual U.S GAAP financial statements including audit support, analytical review, research and resolution of discrepancies
  • Review and prepare backup to regulatory reporting (Form PF, Form ADV, Form13F, etc.) and, ad hoc reporting requests ( e.g., monthly portfolio analyses, exposure, risk attribution analysis)
  • Prepare, monitor, and analyze daily portfolio pricing, system uploads
  • Assist the Firm’s Valuation Committee with the monthly portfolio valuation process

Qualifications and Desired Experience:

  • Minimum of 3- 5 years of fund accounting experience with exposure to fund administrators
  • Bachelor’s degree in accounting, finance or similar field
  • Experience with a variety of investment strategies and asset classes.
  • Knowledge of credit asset classes, including bank loans, is a plus but not required
  • Preferred experience from a fund administrator; or a hedge fund or private equity manager
  • Strong analytical, critical thinking, quantitative and advanced Excel skills
  • Familiarity and ability to learn various accounting, related management systems, like Wall Street Office, and thinkFolio, and fund administrator systems, like Aexeo Citco, US Bank or SS&C.
  • Highly detail oriented with demonstrated accuracy in a deadline driven environment
  • Proactive and self-motivated with the desire to work within an integrated team to resolve time sensitive issues in a fast-paced environment
  • Must reside in the Los Angeles area
    Contact diane@dmstone.com For information

MARKETING COORDINATOR – PASADENA OR SF

The Job:

The Marketing Coordinator is responsible for the ongoing planning, creation, and distribution of our marketing content to all internal and external constituents. You will help create a strong brand presence with innovative promotional offerings, online and offline marketing campaigns, and marketing events. You will collaborate with others on the sales and marketing team to ensure consistency of message across all efforts. Finally, your analytical skills will assist you as your monitor and report on the success of your marketing efforts.

Responsibilities include:

  • Support and/or own the execution of our marketing initiatives.
  • Strengthen our relationship with clients, advisors, consultants, and other constituents.
  • Assist in the completion of statistical and informational requests.
  • Collaborate with other marketing and sales associates, and firm leadership, on content and messaging development.
  • Create online and offline marketing content.
  • Manage all email and social media campaigns.
  • Track, analyze and report the success of those campaigns and events.
  • Maintain relationships with Salesforce (CRM) and our sales tracking partners.

Qualifications:

  • A dynamic, self-starter not afraid of working hard in a fast-paced environment.
  • Exceptional organizational and project management skills, including the ability to multi-task and lead many ongoing initiatives.
  • Looking to make an impact in a growing company.
  • Want to be more than “just a number” at a large organization.
  • A standout teammate craving a smaller team environment with equally supportive teammates.
  • Interested in using your marketing knowledge to create written and video content that engages an audience.
  • Resourceful, inquisitive, and enjoy problem-solving.
  • Comfortable in challenging the status quo – asking “why” and identifying new and better ways of doing things.
  • Seamlessly adapt to shifting priorities and enjoy working with ambiguity.
  • Intellectually curious with a drive to learn and an interest in staying on top of emerging trends.
    Have high integrity – understand and follow compliance procedures.

Marketing experience

  • Experience in the investment management or financial services industry a PLUS
  • BS/BA in Marketing or a related field of study
  • Excellent writing and communication skills
    Contact diane@dmstone.com For information

OPERATIONS AND ACCOUNTING ANALYST – LOS ANGELES

An SEC-Registered Investment Adviser (the “Firm”) seeks a full-time operations and accounting analyst for its Los Angeles office who will be responsible for day-to-day accounting, financial reporting, portfolio analyses, and related operational controls for the Firm’s funds.  The analyst will interact directly with the Firm’s operations and accounting, investor relations, trading, prime brokerage and fund administration personnel on a daily basis.  In addition to accounting and analytical skills and substantive work experience, the ideal candidate must possess an optimistic attitude, a high degree of independence, an ability to thrive in a fast-paced environment and a willingness to contribute however and wherever possible.

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

Qualifications and Desired Experience:

  • Bachelor’s degree
  • Minimum two years of related work experience (e.g., finance, fund or public accounting firm)
  • Proficiency with Microsoft Excel
  • Familiarity with order management systems, portfolio management systems and administrative service providers (e.g., Eze Castle, thinkFolio, Geneva, Citco, Wall Street Office)
  • Proven quantitative, analytical and critical thinking skills
  • Familiarity with fixed income products (performing, stressed and distressed credit in leveraged loans, high yield bonds and related structured products), equities, derivatives, and other OTC securities
  • Expertise with partnership tax accounting
  • Knowledge of financial markets, multi-asset class securities, fund accounting and reconciliations
    Contact diane@dmstone.com For information

 SENIOR STAFF ACCOUNTANT WITH MANAGEMENT EXPERIENCE
MILL VALLEY, CALIF

 Our client is looking for an Accountant who will report directly to the VP of Finance.  This position is responsible for serving as a team leader in the finance department and ensuring the department creates accurate and timely financial records for the organization.

 DUTIES:

  • Gather information from various sales reports for financial records and analysis
  • Assist the VP of Finance in full cycle accounting procedures
  • Gather company data to prepare various reports that analyze sales, use, distribution, and other related reports
  • Manage a team of accounting and finance staff
  • Up to date and accurate maintenance of bank accounts, reconciliation, transactions, and expenses
  • Maintain accurate record of periodic and perpetual inventories and schedules
  • Internal auditing and collaboration with external auditors to verify that company files and records are accurate
  • Ad hoc projects as requested
  • Perform other duties as required.

Qualifications:

  • Bachelor’s degree in Accounting or Bachelor’s degree in Business with equal experience in accounting field
  • Thorough understanding of Generally Accepted Accounting Principles
  • Experience managing a team
  • 3-5 years of accounting experience
  • 3 years of experience working in a professional setting
  • 2 years of experience working in a group environment
  • Must be detail oriented with strong organizational and mathematical skills.
  • Must have the ability to handle large volumes of assignments and adapt to a fast- pace and dynamic work environment
  • Must have superior computer skills, in particular Advanced Excel and PowerPoint.
  • Must have superior communication skills; verbal and written.
  • Self-motivated, enthusiastic, strategic thinker with a can-do attitude
  • Knowledge of QuickBooks is a plus
    Contact diane@dmstone.com
      • CPA required
      • Proficiency in Microsoft Office applications, particularly Excel, Word & Outlook
      • Familiarity with QuickBooks preferred
        Contact diane@dmstone.com

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

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.
  • NRA Series 7, 63 and 65 required.
    Primary Location: Menlo ParkBachelor’s degree required; MBA, CFP, CFA or CIMA strongly preferred.
    Contact 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

SENIOR ACCOUNTING MANAGER-SAN RAFAEL

The company manages the back-office accounting function for several organizations in the electrical energy utility industry. As a Senior Accounting Manager, you will supervise, monitor, and evaluate all day-to-day accounting activities for many of these companies. In addition, you will be pivotal in developing and implementing processes and systems for collecting, analyzing, verifying, and reporting financial information. In this role, you will report directly to our Director of Energy Services. The ideal candidate will have extensive experience in accounting operations as well as supporting process and system improvements.

Core Responsibilities

  • Oversee monthly reporting functions
  • Oversee payroll processing
  • Oversee budget compliance
  • Assist in revenue accounting and closing process on a monthly, and annual basis
  • Manage the accounting functions including revenue, accounts payable, cash receipts, payroll, and general ledger
  • Lead monthly and annual financial close, including development of processes and procedures to ensure completeness, timeliness and accuracy in financial reporting, as well as preparing journal entries and account reconciliations as part of the close process
  • Train, manage, coach and mentor staff as needed
  • Other duties as assigned

Requirements

  • +10 years of progressive accounting experience; public accounting experience is highly desired
  • Bachelor’s degree required, MBA or Masters in a quantitative field a plus
  • Strong analytical and accounting skills with understanding of US GAAP
  • Strong attention to detail, high-level of personal excellence and accountability, and handle multiple responsibilities simultaneously
  • Excellent organizational skills and an ability to prioritize effectively to deliver results within reasonably established timelines
  • Ability to communicate (verbal and written) up and down the organization, from individuals and department leads
  • Experience managing staff
  • Proficiency in Excel (vlookups, pivots, ect.) and Word
  • Ability to learn new systems quickly
  • CPA or equivalent professional accountant designation a plus
  • Candidates must be authorized to work in the U.S.

Contact diane@dmstone.com

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

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


    SENIOR 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

Sales Operations Manager – San Francisco – Ref 5891The 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

        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 (est $150K-$200K), 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