First Republic Bank

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Senior Compliance Associate

Senior Compliance Associate

ID 
2017-5428
Job Locations 
US-CA-San Francisco
Category 
Compliance

More information about this job

Overview

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 Securities Company, LLC (FRSC) is a wholly owned subsidiary of First Republic Bank and is an affiliate to First Republic Investment Management (FRIM). 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 Senior Associate role will be responsible for the support and enhancement of the compliance marketing and advertisement program as well as daily review of specific materials.  The goal of the position is to establish industry best practices and to serve as a valued adviser to business colleagues.

 

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

Responsibilities

  • Timelyreview of proposed advertising and marketing materials across multiple formats, including social media, to ensure compliance with regulatory guidelines and best practices
  • Maintenance and development of compliance policies and procedures regarding marketing materials and communications as needed due to changing regulations
  • Maintenance and development of support software and systems
  • Consider, recommend and implement new technology for marketing review workflow.
  • Educate staff on firm policies and procedures
  • Proactively identify and champion opportunities to improve compliance efficiencies and minimize risks
  • Perform general compliance projects and tasks
  • Gather and manage data for enterprise reporting purposes

Qualifications

Technical/Functional Qualifications:

  • Solid compliance, operational and risk understanding broker dealer & investment advisory business, specifically around marketing materials and outgoing communications
  • Strong knowledge of FINRA rules, the Investment Advisor Act, federal securities regulations and securities industry practices
  • Experience with Hedge Fund and Private Equity offering practices and materials
  • Excellent client focus, accurate and logical problem solving, and strong written and verbal communication skills
  • Good team player; able to work well with both internal and external constituencies
  • Self-motivated. Ability to work independently, on multiple deadline-orientated tasks in a high energy environment, and prioritize based on regulatory/operating risk and business needs
  • Strong interpersonal skills; able to work with all levels of staff and Management.
  • Build and maintain good relationships with internal and external business partners.
  • Good organizational and time management skills. Ability to work under pressure and deliver assignments on schedule
  • 5+ years of experience in the financial services industry
  • FINRA Series 7 license required, Series 24 preferred or the commitment to obtain within the first 90 days
  • Bachelor's degree or higher

 

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