• Compliance Associate, Contingent

    ID
    2018-6693
    Job Locations
    US-CA-San Francisco
    Category
    Compliance
  • 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 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. 

    Responsibilities

    The general purpose of this position is to support the administration, development and execution of FRIM’s Compliance Program.  This role as a compliance associate will focus on assisting the FRIM Compliance team with the 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 Officer will report to the Director of Compliance.


     


    Specific Responsibilities:



    • Manage the regulatory filings for the department, including the Form ADV, 13F, and 13H.

    • Maintain the Compliance Calendar and organize projects and generally “keep things on-track”. Follow-up and follow through are critical

    • Perform general compliance projects and tasks, including administrative duties such as physical/electronic file maintenance, managing calendars, and helping with expenses for the team.

    • Gather and manage data for enterprise reporting purposes, including follow ups with the business partners.

    • Perform research on ad hoc compliance policies and regulations.

    • Assist with developing training materials and presentations.

    Qualifications

    Technical/Functional Qualifications:



    • Understanding of compliance, operational and risk understanding investment advisory business.

    • Knowledge of the Investment Advisor Act and strong working knowledge of FINRA, federal securities regulations and securities industry practices

    • Solid experience in performing risk assessments

    • Excellent client focus, accurate and logical problem solving, and strong written and verbal communication skills

    • Good team player; able to work well with team members and provide mentorship, training and necessary support to junior members

    • 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

    • 2-3+ years of experience in the financial services industry

    • Bachelor's degree or higher

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