• FRSC Compliance Associate

    ID
    2019-7792
    Job Locations
    US-CA-San Francisco
    Category
    Compliance
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    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

    The Audit, Risk, Compliance and Legal groups support First Republic’s business objectives by systematically improving the effectiveness of its risk management, control and governance processes. We own and administer these processes while educating our colleagues to best support them. Our mission is to promote a culture of compliance and to be the best partner we can to our business stakeholders.

     

     

    Common goals, uncommon potential

    First Republic Securities Company, LLC (FRSC) is a broker-dealer fully owned by First Republic Bank. The Compliance Associate - will be responsible for assisting with the enhancement and implementation of FRSC’s compliance program and ensuring compliance with applicable regulations and best practices.  The Compliance Associate will work closely with senior compliance staff to manage important elements of the program. This position will also include interacting with business clients on regulations and related compliance policies, and maintaining and developing compliance policies and procedures in an effort to establish industry best practices.

    What you’ll do as a FRSC Compliance Associate:

    •  Assist with monthly and quarterly compliance reporting
    • Data gathering and report generation
    • Prepare 3rd party, internal audit and regulatory responses and track any deliverables
    • Maintain Compliance Manual and Written Supervisory Procedures
    • Manage Blue Sky and state registrations
    • Maintain and monitor compliance calendar
    • Plan and schedule meetings, conference calls and training events
    • Other analytical, administrative and clerical task related to the Compliance function

     

    You could be a great fit if you have:

    • Desire to learn FINRA rules, federal securities regulations and securities industry best practices
    • 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 business clients
    • 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
    • Ability to build and maintain strong relationships with internal and external business partners
    • Good organizational and time management skills. Ability to work under pressure and deliver assignments on schedule
    • Strong writing and editing skills
    • 0-3 years of experience in the financial services industry
    • Bachelor's degree or higher in a related field such as Finance, Accounting, Economics or Mathematics
    • Completion of the Securities Industry Essentials (SIE or Essentials) Exam required within 180 days of start

    Job Demands:

    • Must be able to review and analyze data reports and manuals; must be computer proficient.
    • Must be able to communicate effectively via telephone and in person.

    Own your work and your career — apply now

    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 hardworking 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.

     

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