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Robert Half Compliance Manager at RIA in San Francisco, California

Description

Please contact Michelle Espejo via LinkedIn or Email for fastest consideration for this opportunity.

Our client is a respected independent registered investment advisor (RIA) firm that specializes in tailored investment management strategies for a diverse clientele, including institutions, private clients, entrepreneurs, and family offices. Their comprehensive services range from asset allocation and portfolio management to customized wealth management, all designed to help clients achieve their financial goals through personalized, collaborative relationships.

Responsibilities:

  • Develop and monitor effective compliance procedures.

  • Establish robust internal controls and ensure adherence.

  • Conduct ongoing testing of compliance policies and procedures.

  • Draft and update company policies to maintain relevance.

  • Educate employees on regulations and industry best practices.

  • Maintain organized and up-to-date client folders.

  • Gather data for regulatory reports and filings.

  • Assist in producing annual and quarterly compliance reports.

    Requirements

  • 3+ years of experience as a Compliance Manager/Officer at an RIA.

  • Strong experience with regulatory filings, including Form ADV, Forms 13F, 13G, and 13H.

  • Knowledge of ComplySci Compliance Platform or similar compliance platforms

  • Bachelor's degree in finance, or related field.

  • Professional certifications like IACCP, CCEP, or CCRP are a plus.

  • Excellent communication skills and the ability to manage multiple projects concurrently.

  • Strong attention to detail and accuracy.

Please contact Michelle Espejo via LinkedIn or email for additional info or any questions you may have.

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

Robert Half will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

© 2024 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .

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