First Republic is an ultra-high-touch bank that provides extraordinary client service. We believe that one-on-one interactions build lasting relationships. We move quickly to serve our clients’ needs so that their financial transactions are handled with ease and efficiency. Client trust and security are paramount in our line of business. Ultimately, our goal is unsurpassed client satisfaction which will lead to personal referrals – our number one source of new business.
We recognize that our competitive advantage starts with our people and our culture. At First Republic, we work hard and move quickly as a very coordinated team. If you are looking for an opportunity to grow and contribute in a fun, fast-paced environment, First Republic is the place for you. We have exceptional people focused on providing extraordinary service.
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.
Brief Description of Role:
The general purpose of this position is to participate in the administration, development and execution of FRIM’s Compliance Program. This role will focus on policies and procedures of the RIA. There will be a specific focus on risk assessments across FRIM's business areas, advising business clients on regulations and related compliance policies, and the maintenance and development of compliance policies and procedures in an effort to establish industry best practices. This role will also be expected to interact with key business people in Trading, Operations and Marketing.
The ideal candidate will have previous compliance experience in a high-touch/high-client-experience-expectation organization within a registered investment advisor.
The Senior Compliance Officer will report to the CCO of FRIM or TBH Deputy CCO of FRIM.
Key Skills, Knowledge, and Abilities: