At First Republic, we care about our people. Founded in 1985, we offer extraordinary client service in private banking, private business banking and private wealth management. We believe that personal connections are everything and our success is driven by the relationships we form with our colleagues and clients. You’ll always feel empowered and valued here.
Incredible teams doing exceptional work, every day
First Republic Investment Management (FRIM) is an RIA with an affiliated BD (First Republic Securities Company LLC) and a wholly owned subsidiary of First Republic Bank. 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 order to ensure compliance with all federal and state securities laws and regulations.
The general purpose of this position is to support the administration, development and execution of FRIM’s Compliance Program. This role will focus on assisting the FRIM Compliance team with conducting risk assessments across the business, third party manager reviews as well as assisting in the general administration of the FRIM 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.
What you’ll do as a Compliance Manager:
You could be a great fit if you have:
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Are you willing to take initiative and make decisions? Are you willing to go the extra mile because you love what you do and how you can contribute as a team? Do you want the freedom to grow and the opportunity to take charge of your own career? If so, then come join us.
We want hard working team players. You’ll have the independence to learn, lead and drive change. A culture of extraordinary service, empowerment and stability—that’s the First Republic way.
This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned to meet the ongoing needs of the organization. The Company is an equal opportunity employer. In this regard, the Company makes reasonable accommodations for qualified applicants and employees with disabilities in order to enable them to perform all essential job functions, unless doing so creates an undue hardship.
First Republic is subject to federal laws that restrict the employment of individuals with certain types of criminal histories, including FDIA Section 19 and FINRA. To the extent not inconsistent with our obligations under those federal laws and regulations, First Republic will consider qualified candidates with criminal histories in a manner consistent with the Los Angeles and San Francisco ban-the-box laws.