Welcome to the DM Stone site (you’ll notice the new look). Below is a sampling of our open positions. If any interest you, please email the recruiter indicated, including resume attachment (MS Word is preferred) and a brief cover note, including compensation requirements. Full job descriptions are available for qualified candidates upon request. For many jobs you can click on the pdf file link to download the description (for example 5794.pdf). If your browser does not work with our web email links, please cut and paste the indicated address into your email program. You may click www.DMStone.com to visit our home page
PROCUREMENT & ACCOUNTING ASSOCIATE
This position is responsible for coordinating all purchasing activities, including the entering, submission, correction, and approval of all purchase orders for physical products sold and the accurate and timely recording of related transactions in accounting system.
- Generates Purchase Requisitions and Purchase Orders (POs)
- Updates Change Orders of issued Purchase Orders
- Collects inbound shipping documents as proof of payment to suppliers and outbound shipping documents as proof of invoicing to customers
- Accounting functions:
- Responsible for Purchasing Module in Oracle
- Responsible for Order Management Module in Oracle
- Responsible for Inventory Module in Oracle
- Responsible for reconciling Inventory balances to physical inventory records
- Assists the Accounts Receivable staff as needed
In addition to these responsibilities, performs other activities as assigned
MINIMUM REQUIRED EXPERIENCE
- Basic knowledge of accounting concepts PREFERRED
- Basic understanding of and previous experience with purchasing activities, invoice matching, and inventory costing a MUST
- Experience with Oracle or other ERP software a PLUS
- Intermediate to advanced knowledge of Excel including familiarity with VLOOKUPS, macros, etc.
- Ability to maintain high attention to detail when working with large amounts of data
- Proficiency with computer usage, including email, Internet, and standard software
- Ability to manage time effectively and meet deadlines
- Ability to work effectively in a small organization with an emphasis on teamwork
- Minimum 1-3 years of professional experience in office setting including purchasing responsibilities
- Associate or Bachelor’s Degree in Finance, Business, or related fields from an accredited college or university, or equivalent, with a record that demonstrates suitable preparation for this position
Days and hours of work are Monday through Friday 9:00 a.m. to 5:00 p.m., however, willingness and ability to work non-standard business hours, such as nights and weekends, on an as-needed basis is required. Feel free to email resume as an MS Word Attachment to firstname.lastname@example.org
TAX ACCOUNTANT – SAN FRANCISCO
This position assists the tax department with a wide range of investment fund tax and accounting related responsibilities, including but not limited to the review and preparation of federal, state local and foreign tax filings and related work papers, the preparation of book to tax adjustment, the preparation of company management books and various other tax planning projects. The Sr tax accountant also assists in the documentation and maintenance of the federal and state tax compliance requirements, and helps develop relevant workflow enhancements as they pertain to the tax reporting and preparation process. The ideal candidate has a solid tax background and is looking for an opportunity to broaden his or her technical skills. He or she will possess a willingness to learn directly from seasoned tax professionals and to deep dive into investment related tax issues. The position reports directly to the Associate Tax Directors.
- 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
- 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
SEND RESUME AS AN MS WORD ATTACHMENT TO email@example.com
ADMINISTRATIVE ASSISTANT – LEGAL DEPT – SAN RAFAEL
You will provide daily office support to Attorneys and staff in a fast-paced, high volume legal department, and is frequently called on to assist employees across all business groups with contract-related matters.
Job duties include obtaining signatures on contracts through the Legal Contract Lifecycle Management System (CLM) and DocuSign (or obtaining manual signatures as required); printing, filing, and maintaining appropriate filing systems including hard copy files of all executed contracts; evaluating company-wide purchase order requests to determine compliance with the company’s contract policy; making travel and meeting arrangements; managing calendars; preparing reports; assisting attorneys and staff with document needs (Word, PowerPoint, Excel); and covering for/assisting other department admins.
Previous experience in a Legal Dept or supporting Atty’s is a PLUS!!
For a complete job description – contact diane @dmstone.com
HUMAN RESOURCE BUSINESS PARTNER – SAN FRANCISCO
This is a key role that is responsible for advising and consulting executive management on a full range of strategic and tactical Human Resources areas including Compensation, Organizational development, and Talent Management.
This role will be accountable for building best practice HR framework utilizing corporate values in partnership with senior executives. This HR Business Partner role will collaborate with business areas including the Small & Medium Business Enterprise to ensure effective support in developing and executing plans that optimize HR programs.
- Requires 7 years minimum prior relevant experience in Human Resources, preferably with specific experience in leading/advising on Organizational Development, Performance and Talent Management.
- Experience in working in a fast paced environment where you have been the key adviser for executives for Human Resource topics including Learning & Development, Talent Management, Performance and Organizational Development.
- Ability to manage change and inspire business partners to embrace change.
- Ability to interact with senior and executive-level management; and to build strong relationships at all levels.
- Ability to effectively advise, consult, and communicate with executive-level.
- Excellent communication skills and strong ability to influence and collaborate.
- Ability to take initiative and make decisions under pressure.
- Strategic thinking, project management and analytical skills.
- Adept at utilizing MS Outlook, Word, Excel and PowerPoint.
- Bachelor’s Degree in Organization Development, Business or HR related field; Master’s preferred. SEND RESUME AS AN MS WORD ATTACHMENT TO firstname.lastname@example.org
Contact email@example.com FOR COMPLETE JD AND DETAILS
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 firstname.lastname@example.org FOR COMPLETE JD AND DETAILS
ACCOUNT SPECIALIST – INTERNAL CONTROLS GOVERNANCE (ICG) – 5769 – LOS ANGELES, CA
Evaluates effectiveness and efficiencies of all financial systems; Monitors emerging NAIC accounting issues related to the Model Audit Rule (MAR) to ensure the Internal Control Framework (ICF) meets regulatory requirements;
Prepares ICF Documentation and Evaluation for all in scope financial and company-level processes and coordinates the remediation of any Issues & Actions; Coordinates and oversees ICF Sustainability through, Quarterly PO Sign-Off, Process Change Impact Assessments, and Key Control & MRCA Validation efforts. This group is called Internal Control Governance (ICG).
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 email@example.com for details and job description.
TECHNICAL ACCOUNTING & POLICY ANALYST – SANTA ROSA, CA
CPA REQUIRED – REF 5787
The Technical Accounting and Policy Analyst is a critical role within the External Financial Reporting team. The Technical Accounting and Policy Analyst supports company’s US GAAP compliance by analyzing and implementing accounting guidance, maintaining t’s accounting policies, and determining the proper accounting treatment for complex, routine and non-routine transactions.
This role has a significant involvement in areas to include, but not limited to, purchase accounting and review and implementation of new accounting pronouncements. The position reports to the Accounting Policies and M&A Manager and interacts regularly with the Corporate Finance organization and external auditors. Contact firstname.lastname@example.org for details and job description.,
FUND ACCOUNTING MANAGER – SF – REF 5812
Global Financial Services firm who is a leading independent asset services firm offering front-to-back capabilities across all asset classes to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, family offices, RIAs and traditional asset managers.
Services include Fund Administration, Tax and Middle and Back Office services.
This position provides accounting support to hedge funds, private equity and venture capital managers, pensions, endowments, foundations, and family offices.
There will be reporting requirements to both the managers and directly to their clients/investors. You will review the accounting for all subscriptions and redemptions, including income allocation, management fee and performance fee calculations, and sign off on the monthly or quarterly NAV packages. The fund accounting team is responsible for the annual Audit which includes managing the audit relationship and signing off on annual financial statements.
- 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 email@example.com for details – SEND RESUME AS AN MS Word Attachment
LEAD DATA GOVERNANCE ANALYST – SAN RAMON-
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 firstname.lastname@example.org 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 email@example.com for details and job description – Send resume as an MS Word AttachmentSENIOR ASSOCIATE, COMPLIANCE – REF 5861 – SF
Support the administration, development and execution of the IM/SC compliance monitoring and surveillance program.
This role will focus primarily on the administration of the Code of Ethics of which includes the review of employee conduct and personal trading activity.
The ideal candidate will have previous compliance experience in a high-touch/high-client-experience expectation organization within a registered investment advisor and/or broker-dealer.
This Compliance position will report to the Vice President of Compliance. FOR COMPLETE JD AND DETAILS: Contact firstname.lastname@example.org
CLIENT SERVICE ASSOCIATE (MULTIPLE LOCATIONS) – WALNUT CREEK, WOODLAND HILLS, PASADENA AND ANAHEIM, CA – REF 5863
Our client seeks a skilled Client Service Associate to provide full support to one or more Financial Planners, ensuring and enhancing client satisfaction through direct contact with clients, vendors, and other operational employees, while adhering to regulatory standards. For complete JD and information
CONTROLLER – PALO ALTO – REF 5874
- Responsible for monthly NAV process: reconciliation, allocations and capital account statements for investor
- Responsible for maintaining internal books and
- Responsible for daily trade/cash reconciliation, trade breaks, wires, margin/collateral management.
- Responsible for annual audit, tax and regulatory filings for onshore and offshore
- Assist with compliance reporting and maintenance of the operational procedures
- Work closely with external service providers including prime brokers, custodians, auditors, tax professionals and fund
- Responsible for portfolio reporting including exposure, returns, composition and analytics reporting.
- Responsible for preparation of investor requests including audit, tax and other investor specific reporting.
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
CLIENT SERVICE MANAGER – SF OR PALO ALTO – REF 5876
Our client is a dynamic and growing asset management firm. Their focus is to serve their private clients through customized portfolios and objective, personalized service.
Responsibilities range from providing daily oversight on a wide range of sales, service, administrative and relationship management support delivered by a team of Client Service Associates to participating in the development of firm’s policies and procedures, providing back-up support to the Regional Client Service Manager as a Client Service Manager, and assisting the Client Service Team in client specific projects.
A successful candidate will have a minimum of 5 years’ experience in the financial industry working with high net worth individuals and families and have an enhanced understanding of industry regulations and compliance issues.
Series 7 and 63/65 or 66 required
Series 9/10 or 24 highly preferred (must obtain within 90 days of employment) – For complete JD and information
TECHNOLOGY AND OPERATIONS ASSOCIATE – SF – REF 5878
Our client, a major investment firm in SF, is seeking a dynamic and energetic Technology and Operations Associate who brings a demonstrated aptitude in financial technology tools and a strong commitment to client/consultant technology vendor relationships, to join the Business and Operations Team. The qualified candidate will be and have the insight and technical skills to manage and build upon existing platforms, recommend and implement new technical platforms and manage current websites
- 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
MANAGER PRIVATE EQUITY ADMINISTRATION – SF REF 5882
The leading provider of software solutions and services for the international investment community for Investment managers, broker/dealers, sponsors, and custodians around the world is looking for a Manager – Private Equity Administration to support a broad spectrum of business management and support activities for the PE business new business development and existing client relationships.
You should have an understanding of administration for alternative investment funds – with a focus on private equity, proven communication and presentation skills, the ability to work independently and in small groups and demonstrated experience meeting deadlines.
- 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 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 email@example.com
Client Service Specialist – SF or MENLO PARK
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
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
SEND RESUME AS AN MS WORD ATTACHMENT TO firstname.lastname@example.org
EXECUTIVE PERSONAL ASSISTANT TO FOUNDER AND PARTNER BOUTIQUE INVESTMENT FIRM REF 5908
Our client is looking for an experienced, highly-skilled, seasoned Executive Personal Assistant to support the Founder and Partner in SF.
This position will be 4 days a week 6 hours a day – 10:00 am – 2:00 pm
You will be responsible for schedule and calendar management, preparing the Executive for internal and external meetings, collecting information, preparing reports and coordinating all domestic and international travel. For a complete description SEND RESUME AS AN MS WORD ATTACHMENT TO email@example.com
SENIOR AUDITOR – INTERNAL AUDITING GROUP
WOODLAND HILLS, CA / AND OR
BELLVUE, WASHINGTON – REF 5909
*** RELOCATION IS AVAILABLE ***
This position is in the Internal Controls Governance (ICG) group. They mostly audit operational controls to assure compliance with SOX and NAIC MAR (Model Audit Rule). They will report to the Sr. Audit Manager.
Strong operational audit knowledge as well as a CIA, CPA or CISA designation preferred and will be considered over other candidates. Experience with a big four or national CPA firm preferred – SEND RESUME AS AN MS WORD ATTACHMENT TO firstname.lastname@example.org as well as a complete JD.
OPERATIONS ASSOCIATE – REF 5911
The operations associate is crucial to the firm and includes providing material support to the operations team to make sure that the client related operations and other related duties are completed in an appropriate manner. The Operations Associate reports to the Chief Operations Officer and is responsible for assisting with accounting, streamlining work flows, HR and compliance. The individual should have strong attention to detail, excellent analytical skills with the ability to multi task and prioritize work in a fast-paced environment. Strong communication and organizational skills as well as good decision-making skills would prove to be an advantage. Ability to take initiative and manage tasks and handle projects independently from inception to completion are some of the other required qualities. He/she should be comfortable to work in a team as well as function independently.
SEND RESUME AS AN MS WORD ATTACHMENT TO
- INSITUTIONAL SERVICES – Premier SF RIA Firm
INVESTMENT ADVISORY COMPLIANCE CONSULTANT (MANAGER OR ASSOCIATE) REF 5912
Our client is a premier consulting firm in the investment advisory space is seeking a regulatory compliance professional to join its San Francisco team. Depending on the candidate’s experience, this could be Associate level or a more senior Manager role.
Broad compliance experience in investment advisory industry, especially private funds (VC, PE, HF). This would include SEC filings, annual compliance reviews, drafting policies and procedures manuals, etc.
Client facing experience, service oriented, can multi-task and juggle various client relationships.
There is minimal travel. Workday begins at 7:30 am, on site in SF Financial District.
Looking for good energy, someone who loves the industry, is a good problem solver, and can work independently and also as part of a cross functional team.
For the Associate role experience is 2-5 years’. Manager 5+ years.
SEND RESUME AS AN MS WORD ATTACHMENT TO email@example.com
INVESTMENT OPERATIONS ANALYST – MARIN COUNTY RIA FIRM – REF 5913
Looking for an entry level Investment Operations Analyst with excellent problem-solving skills, a high degree of attention to detail, and strong organizational and analytical skills. This is a great opportunity to work for a growing investment management firm. The position requires strong analytical and communication skills. The Investment Operations Analyst will have good excel and database skills and must be able to manage and prioritize multiple tasks.
- Duties and Responsibilities
- Daily monitoring and reconciliation of separately managed accounts between firm’s portfolio accounting system and firm’s external custodians
- Communicate with custodians, banks, brokers and vendors to resolve issues related to daily processes, data delivery, trade settlement, etc.
- Work on miscellaneous projects to streamline operations, automate processes, and reduce errors
- Help set up new intermediaries, custodians, platforms and interfaces
- Help maintain security master, trading restrictions and various financial account information
- Respond to various external and client requests in a timely and professional manner: reporting, valuations, analyses, etc.
- Respond to various internal requests typically from client onboarding and portfolio management
- Various monthly and quarterly closing processes
- Other duties as assigned
- Duties and Responsibilities
- Desired Skills and Experience
- Bachelor’s Degree required preferably in business, math, finance or related field
- 1-3 years of relevant work experience at an investment management firm
- Portfolio accounting and performance experience
- Good understanding of financial markets required
- Strong proficiency with Microsoft Excel required
- Ability to prioritize and manage multiple tasks required
- Strong verbal and written communication skills required
- Organizational skills to manage data, projects, and processes
- Knowledge of Fiserv, Advent APX, Salesforce, VBA, SQL a plus
SEND RESUME AS AN MS WORD ATTACHMENT to firstname.lastname@example.org
MANAGER OF INVESTMENT OPERATIONS – MARIN COUNTY – REF 5914
Looking for a Manager of Investment Operations with 3-5 years of relevant experience. You will manage a team of investment operations professionals tasked with portfolio reconciliation, trade settlement, corporate actions, reporting and servicing of client broker accounts for the firm. Ideal candidates must have excellent problem-solving skills, a high degree of attention to detail, and strong communication, organizational and analytical skills. The Manager of Investment Operations must be able to manage and prioritize multiple tasks as well as work well independently and in a team environment.
Duties and Responsibilities
Strategic and tactical responsibility for general investment operations management, including oversight of all related policies and procedures.
- Update training materials and operating procedures as needed.
- Set up new intermediaries, custodians, platforms and interfaces.
- Respond to various external and internal requests in a timely and professional manner.
- Actively contribute to our operations agenda and any firm-wide initiatives.
- Other duties as assigned.
- Minimum 3+ years’ experience in an investment management firm.
- Background in or understanding of financial markets including knowledge of current market trends and competitive landscape.
- A desire to understand our company structure and identify opportunities to utilize our resources to meet client needs
- Demonstrate a strong work ethic and a willingness to do what it takes solve complex problems and/or resolve complex client requests.
- Strong organizational skills to manage data, projects, and processes.
- The ability to use considerable tact and discretion when dealing with client or sensitive data.
- Exceptional interpersonal skills to interface with clients, prospects, custodians and colleagues.
- Excellent communication (both verbal and written) and client relationship management skills – whether interaction is in-person, over the telephone or via email.
- Ability and desire to work in a fast-paced environment that can be unstructured; a proven ability to handle pressure, multi-task and prioritize work at all times.
- Excellent attention to detail and high degree of accuracy and consistency.
- Outstanding knowledge of Microsoft Office with strong Microsoft Excel skills.
- Experience with custodial websites, CRM client database (Salesforce) and APX portfolio management system a plus
- BA/BS required
SEND RESUME AS AN MS WORD ATTACHMENT TO email@example.com
Trade Desk Analyst (FI Derivatives) Department: Hedging Product
Walnut Creek, CA –
This position reports to: Managing Director, Hedging Products :
· Support a team of high-performing product specialists to identify business opportunities and optimize product performance/engagement
· Communicate product strategy and solutions to clients and internal stakeholders
· Prepare interest rate swap quote packages and marketing presentations
· Analyze credit approval memos for compliance with key risk and credit parameters
· Prepare counterparty credit approval requests for trade desk transactions
· Perform high level review of legal documents to ensure the required sections are complete
· Structure and price interest rate swap transactions
· Partner with major business units (Marketing, Sales, and Operations) to support work-flows
· Support derivatives trade desk with customer data analysis and research on mortgage markets
· Provide backup support for transaction execution and documentation
· Create automated dashboards and data visualizations to track key business metrics
· Analyze and mine both structured and unstructured data to drive product development
· Undertake ad-hoc projects related to job function
· Strong analytical skills
· Exceptional attention to detail
· Quick study and assimilation of complex data
· Focused and task oriented
· Able to deliver data-driven insights to support business decisions
· Able to track and prioritize multiple projects simultaneously
· Timely and accurate completion of work
· Spreadsheet macros, database query and data analysis skills are preferred
· Solid understanding of financial analysis and ability to review loan presentations
· Bloomberg terminal knowledge is a plus
· Bachelor’s Degree in Business, Finance, or Economics preferred
· Banking, Finance, Credit and/or CRE mortgage related work experience of at least 4 years in lieu of a college degree
· Derivatives and/or Fixed Income trade desk experience preferred
· Call Report data analysis preferred
SEND RESUME AS AN MS WORD ATTACHMENT TO firstname.lastname@example.org
COMPLIANCE COUNSEL – SANTA ROSA – REF 5920
- Desired Skills and Experience
- 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.
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 email@example.com
VP/PERSONAL TRUST OFFICER (dmstrust) Major private bank in SF seeking a senior Trust Officer with 8+ years experience to work with clients in the HNW space. JD, CTFA, or other cert a plus. Great oppty, compensation, benefits. Contact firstname.lastname@example.orgOversee RFP and Business Development Associate role and ensure that RFP/RFI deliverables are in line with firm wide marketing and messaging.Ensure accuracy within the RFP database and draft new language as appropriate.Work with the Director of Institutional Relations to enhance our partnership efforts with senior leaders and business partners to execute on our distribution strategy, demand analysis, product positioning and sales support plans.Coordinate, drive, initiate and execute key business development projects.Contribute to the vision and strategy of the Business Development team as it pertains to firm and product positioning.Series 7 – or able to obtain within 90 days
Solid investment management knowledge and a passion for the industry.High level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plusHigh level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plusHigh level of competency in a CRM and Microsoft Excel, including Vlookups, Hlookups and pivot tables; Macros and VBA programming a plus
Basic financial and budget modeling
Review and comment on new and amended client guidelines
Manage and provide leadership for our investment operations including all aspects of budgeting and people management for the team including recruitment, retention, succession planning, career development, and training.Communicate with custodians, banks, brokers and vendors to resolve issues related to daily processes, data delivery, trade settlement, etc.Review and devise internal processes and procedures to streamline operations, minimize risk, and reduce errors.BA/BS requiredThe ability to work independently under minimal supervision, with exceptional problem-solving proficiency.
- PERSONAL TRUST OFFICER – PATH TO MANAGEMENT (dmstrust2) Small community bank on the SF Peninsula is seeking an experienced Trust Officer who would be promotable to manager. JD, CTFA, or other cert a plus. Growth oppty. Contact email@example.com
AML/BSA DIRECTOR OF QC & TESTING (dmstestdir) Major SF bank is seeking an experienced AML testing professional with strong audit/controls & mgmt background. Also seeking a more junior specialist. Will relo. Contact firstname.lastname@example.org
SALARIED INVESTMENT CONSULTANT – MULTIPLE NOR CAL LOCATIONS (dmssalfc) National brokerage firm is looking for financial sales professionals with 2-3 years experience and Series 7/66. Will be given a book of HNW clients. Locations include SF, Palo Alto, Cupertino, Campbell, Walnut Creek, Roseville. Contact email@example.com
COMPLIANCE ASSOCIATE – RIA (dmscomplassoc) Prestigious SF investment firm. Degree plus 2-3 years experience. Will perform regulatory filings (ADV, etc.), and support compliance team. Lots of growth potential. Contact firstname.lastname@example.org
CORPORATE PARALEGAL – FUND FORMATION (dmsparalfund) Prominent SF law firm. Degree plus 3 years of corporate paralegal experience required, prefer fund formation experience. Contact email@example.com
LAW FIRM BILLING COORDINATOR (dmsbillinglaw) Prominent law firm has openings in SF and Palo Alto. Prefer degree plus 2+ years of accounting experience, prefer billing software experience (CMS Open, E-Billing-Hub and/or Intapp Time.) Contact firstname.lastname@example.org
SERVICE WEALTH ADVISOR (dmssvcwealthadv) Prestigious and growing investment advisory firm in the East Bay is seeking an experienced CFP service advisor who enjoys financial planning, working with multi-generational family clients, and is team oriented. Experience with another RIA would be a big plus. Generous Base Salary + Incentive Commission for new assets added. Contact email@example.com
ASSOCIATE, INVESTMENT TECHNOLOGY (dmsassocinvttech) Prestigious SF Investment Firm is seeking an experienced investment technology professional. Position will support brokerage (Pershing, etc.) and RIA (Advent) systems, and will require market hours (5:30 am start time). Strong in software such as SQL, VBA, Java, SSRS, SSIS, Informatica. Great growth oppty and firm. Can be perm or contract role. Contact firstname.lastname@example.org
FINANCIAL SYSTEMS ADMINISTRATOR – LAW FIRM (dmsfinsystadm) Prominent SF Financial District law firm is seeking an experienced law firm technology professional to be responsible for design, development, support and management of the firm’s accounting and business databases. Requires thorough knowledge of Aderrant Expert, including development. Also, heavy knowledge, prefer Powershell, MS Visual Studio. Will supervise one application developer. Contact email@example.com
PRIVATE BANKER WITH BOOK – PRESTIGIOUS BANK, PALO ALTO OFFICE (dmsprivbnkr) Prominent California based bank is seeking an experienced banker who caters to the high net worth community in Silicon Valley. Must have prior credit training, knowledge of jumbo mortgages, commercial lending, deposits and investments. Series 7 and 66 licenses preferred (or may obtain after hire). The Bank offers flexibility in growing one’s book, a first-year base salary during ramp-up, and a generous commission structure. Culture is entrepreneurial and supportive, and highly customer focused. Applicant should have a current book of around $75-100 million, mix of loans, deposits, investments, with main focus being on lending. Will not inherit a book. Please contact firstname.lastname@example.org
REGISTERED CLIENT SERVICE MANAGER – PRESTIGIOUS FIRM, PALO ALTO AND CENTURY CITY OFFICES (dmsCSMGR) We’re looking for a registered Client Service Manager (FINRA Series 7/66 and 9/10 or 24) for a major private client brokerage group in both its Palo Alto and Century City offices. Need experience developing 10-20 CSA staff, preferably from a wire house firm. For more info, please contact email@example.com
Investment Management Attorney – San Francisco (dmsIMAtty) Our client, a major law firm, is seeking an Associate to join the Investment Management practice in their dynamic San Francisco office. The ideal candidates will have at 3-6 years of experience in drafting and reviewing limited partnership agreements for hedge funds, venture capital funds and private equity funds from both the manager and investor perspective. Candidates should also have experience in negotiating side letters with fund counsel.
Candidates must be self-starters who possess the ability to work independently and as part of a team. We require strong academic credentials, excellent communication skills, and a commitment to providing the highest quality client service. Candidates will work closely with experienced lawyers who will provide active mentoring and opportunities to assume increasing levels of responsibility and client contact. Please contact firstname.lastname@example.org
PRIVATE BANKER WITH BOOK – PALO ALTO (dmspbbook) We’re looking for a Private Banker for a top bank in its Palo Alto office. Must have a book of $75-100MM, mostly mortgage & comm’l lending, plus deposits & investments. Series 7/66 a +, or may obtain after hire. Base salary for 1st year, generous commission plan. Please contact email@example.com
INVESTMENT RESEARCH ANALYST/CFA – SF (dmsresanlst) We’re looking for a Research Analyst/CFA for a premier buy-side firm in SF. Initially will cover domestic equities & portfolio re-balancing. Need CFA with 3-10 years of sell- or buy-side experience. Base salary + discretionary + performance bonus. Hours 7-4:30 or so. Please contact firstname.lastname@example.org
INVESTMENT COMPLIANCE MANAGER – SF (dmscomplmgr) We’re looking for an Investment Compliance Manager for a major financial firm in SF (or South Bay). Will manage RIA compliance (plus B-D), also risk, controls, remediation, new product research. FINRA 7/24/79 must be obtained w/in 1st 6 mos. Prior staff management experience is not required. Competitive salary and bonus range. For more info, please contact email@example.com