Welcome to the DM Stone site (you’ll notice the new look).  Below is a sampling of our open positions. If any interest you, please email the recruiter indicated, including resume attachment (MS Word is preferred) and a brief cover note, including compensation requirements.  Full job descriptions are available for qualified candidates upon request.  For many jobs you can click on the pdf file link to download the description (for example 5794.pdf).  If your browser does not work with our web email links, please cut and paste the indicated address into your email program.   You may click to visit our home page


Our client, a prestigious law firm, is looking for an experienced Controller to work in their San Francisco office. The ideal candidate will have at least 7+ years of experience managing a mid to large size law firm finance department. This individual will report to the Chief Financial Officer, will manage 17 finance team members and oversee the overall operations of the finance department, including the design of an organizational structure adequate for achieving the department’s goals and objectives. They should have knowledge and experience in all roles within the department. This person is responsible for the accounting operations of the company, and at the direction of the CFO, will produce requested financial reports, maintain an adequate system of accounting records, and a comprehensive set of controls and budgets designed to mitigate risk, enhance the accuracy of the company’s reported financial results, and ensure that reported results comply with generally accepted accounting principles and the firm’s financial reporting standards.


  • Prepare Monthly Partner Reporting Packages, for CFO Review
  • Prepare Monthly Partner Distribution Analysis, for CFO Review
  • Ensure that accounts payable are paid in an accurate and timely manner
  • Ensure that accounts receivable are collected promptly
  • Ensure that cash receipts are processed in an accurate and timely manner
  • Ensure that payroll is completed in an accurate and timely manner
  • Ensure that monthly bank reconciliations are completed in an accurate and timely manner
  • Ensure that required debt payments and depreciation entries are made on a timely basis
  • Maintain the chart of accounts
  • Maintain an orderly accounting filing system
  • Maintain a system of controls over accounting transactions
  • Manage and implement new finance related software tools, as directed by the CFO
  • Review month-end and year-end journal entries
  • Complete month end close and balancing
  • Annually prepare K-1 information worksheet for outside tax counsel’s use in preparation of the annual form 1065 and partner K-1s.
  • Main point of contact with outside tax counsel and responsibility for annual financial review, tax returns, and Profit Sharing reviews
  • Review annual SF business tax and property tax returns and ensure proper preparation and distribution of annual 1099s
  • Experience with partnership foreign tax filings and multi-state revenue nexus related tax compliance is a plus


  • Review and/or prepare profitability analysis for Attorneys or CFO, as requested
  • Issue timely and complete financial statements
  • Recommend benchmarks against which to measure the performance of company operations
  • Calculate and issue financial and operating metrics, as requested
  • Assist the CFO and FP&A team with the annual budget and forecasts, as requested
  • Calculate variances from the budget and report significant issues to CFO, as requested
  • Provide financial analyses as needed, in particular for capital investments, pricing decisions, and contract negotiations to the CFO
  • Work with CFO and FP&A team during the annual budgetary process, as requested


  • Periodically review internal accounting processes and make improvements as necessary
  • Be able to review and recommend tools to make the finance department more efficient
  • Coordinate the provision of information to external auditors for the annual audit
  • Monitor debt levels and compliance with debt covenants
  • Comply with local, state, and federal government reporting requirements and tax filings


  • Assist CFO in finance related projects and assist in day to day execution of strategies
  • Liaison between CFO and outside accounting firms, banks, and other finance related vendors, as requested
  • Provide back up to the CFO, as required

 Desired Qualifications:

  • Bachelor’s Degree in Accounting or Business Administration or equivalent business experience
  • Understanding of US GAAP principles and practices
  • Understanding of cash basis accounting and reporting
  • Knowledge of Elite is desired
  • Advanced Excel skills desired/Word


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.


– 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.






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


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


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.


  • 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.


    • 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.



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



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.


  • Minimum of 10 years of related experience in Commercial Trade Finance products, international products, international operations, auditing, or other significantly regulated areas of banking.

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 FOR COMPLETE JD AND DETAILS




  • 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.

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).

SEC Financial Reporting Analyst – SANTA ROSA, CA – REF 5786

The successful candidate will work in a team environment to consolidate the financial results of the company and report operating results internally and externally. This position is responsible for collecting financial information from global locations, reviewing, compiling, analyzing financial and accounting information, preparing consolidated financial statements and related disclosures, researching accounting policies, and preparing SEC filings (10Q and 10K) and internal management reports.  Contact for details and job description.



The Technical Accounting and Policy Analyst is a critical role within the External Financial Reporting team. The Technical Accounting and Policy Analyst supports company’s US GAAP compliance by analyzing and implementing accounting guidance, maintaining t’s accounting policies, and determining the proper accounting treatment for complex, routine and non-routine transactions.

This role has a significant involvement in areas to include, but not limited to, purchase accounting and review and implementation of new accounting pronouncements. The position reports to the Accounting Policies and M&A Manager and interacts regularly with the Corporate Finance organization and external auditors.    Contact for details and job description.,

Global Financial Services firm who is a leading independent asset services firm offering front-to-back capabilities across all asset classes to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, family offices, RIAs and traditional asset managers.

Services include Fund Administration, Tax and Middle and Back Office services.

This position provides accounting support to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, and family offices.

There will be reporting requirements to both the managers and directly to their clients/investors. You will review the accounting for all subscriptions and redemptions, including income allocation, management fee and performance fee calculations, and sign off on the monthly or quarterly NAV packages. The fund accounting team is responsible for the annual Audit which includes managing the audit relationship and signing off on annual financial statements.


  • Portfolio reconciliation, partnership accounting, series accounting, monthly performance reporting and fund accounting for management and incentive fees. Including waterfall calculations for private equity clients.
  • Responsible for oversight and review of work performed by the fund accountants and senior fund accountants.
  • Review and sign off on Month End or Quarter End NAV Packages.
  • Ensure accuracy and timely distribution of the valuation package to all clients.
  • Interact regularly with clients, auditors and vendors.
  • Additional responsibilities include training and scheduling of accountants, coordination of valuation issues, monitoring procedures and controls and prompt resolution of all issues.
  • Mentoring and training of staff 


  • Minimum 5 years’ experience in Hedge Fund Administration or in related Financial Services Operation.
  • Strong understanding of general ledger accounting including the preparation of financial statements.
  • Strong understanding of derivatives and portfolio accounting
  • Experience with Advent Geneva and income allocation software
  • Advanced Excel and Word skills.
  • Previous team management experience
  • Qualified Accountant (C.P.A., C.A. etc.) is a plus.
    Contact for details – SEND RESUME AS AN  MS Word Attachment

    REF 5859

    Responsible for high level of data quality through the creation and management of sound Metadata management processes. In addition, they will drive the efficiencies for data management and evaluation of how data flows. This individual is responsible for governance and policies, standardizing data naming, establishing consistent data definitions and monitoring/auditing the overall enterprise data quality. Work closely with other work-streams so that the data management requirements are appropriately implemented within individual work-streams in a consistent manner.Consults with and guides business owners to document, implement and maintain the metadata and business rules for the bank’s data, beginning with the data required.Analyzes the data within the bank, identifies issues and makes recommendations to ensure adherence to consistent definitions, business naming standards, development of standard calculations, security requirements, etc.Develops and enforces methods and validation mechanisms for ensuring data quality and accuracy through the warehouse.Identifies any issuers or anomalies in the quality of data within the bank’s systems.Entrusted with improving, and maintaining a high level of, data quality.Develops metrics and reporting requirements for ongoing monitoring of the bank’s data.Prioritizes directs the resolution of data quality related issues; counsels business and technology representatives to have them resolved.Resolves escalated issues.
    Contact for details and job description – Send resume as an MS Word Attachment

    Operations and Accounting Analyst – LA – REF 5862


    • Reconcile daily P&L, positions, cash and trade breaks between administrator, brokers and internal systems
    • Review and prepare monthly portfolio analyses, including exposure reporting, attribution analysis and risk reporting
    • Coordinate post-execution trade data flow from the order management system (thinkFolio) to service providers and internal systems
    • Review investors’ management and performance fees, P&L, RORs and monthly statements
    • Support the Funds’ auditors and tax preparers on year-end financial reporting in accordance with GAAP
    • Assist the Firm’s Valuation Committee with the monthly pricing process –  Contact for details and job description – Send resume as an MS Word AttachmentSENIOR ASSOCIATE, COMPLIANCE – REF 5861 – SF

Support the administration, development and execution of the IM/SC compliance monitoring and surveillance program.

This role will focus primarily on the administration of the Code of Ethics of which includes the review of employee conduct and personal trading activity.

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

This Compliance position will report to the Vice President of Compliance. FOR COMPLETE JD AND DETAILS:    Contact


Our client seeks a skilled Client Service Associate to provide full support to one or more Financial Planners, ensuring and enhancing client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards.  For complete JD and information


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


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

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

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

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

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


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


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

For complete JD and information


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

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


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

    Sales Operations Manager – San Francisco – Ref 5891
    The Bank provides financial services to the world’s most innovative tech and life science companies and investors, and has exposure to vast amounts of data covering the breadth of the startup and VC landscape. While data has been integral to their growth over the past 30+ years, they are placing an even greater emphasis on being a data-driven organization by establishing the Analytics & Sales Operations Team to support all sales focused aspects of the banking practice.

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

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

    Client Service Specialist  – SF or MENLO PARK
    REF 5892

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

    Duties may include but not limited to:

    – Assist with servicing client relationships:

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

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

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

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

    o Assist tasks such as opening and closing accounts, 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.


    • 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

                    • INSITUTIONAL SERVICES – Premier SF RIA Firm
                      REF  5902

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


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


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

                      • 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



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

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

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

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

                     *** RELOCATION IS AVAILABLE ***

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

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


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


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

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

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

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

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



                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


                  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

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

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

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

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