Director, FRIM Compliance Officer

Salary depends on experience
Posted on 10/17/17
San Francisco, CA
8 - 10 years experience
Financial Services
Salary depends on experience
Posted on 10/17/17

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.


Organizational Objective/Purpose:

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.



  • Educate and train staff on firm policies and procedures
  • Proactively identify and champion opportunities to improve compliance efficiencies and minimize risks
  • Perform risk assessments across the firm to identify gaps and strengthen controls
  • Perform general compliance projects and tasks
  • Gather and manage data for enterprise reporting purposes.


Key Skills, Knowledge, and Abilities:

  • Solid compliance, operational and risk understanding investment advisory business.
  • Strong 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
  • 7+ years of experience in the financial services industry
  • Bachelor's degree or higher

Mental/Physical Requirements:

  • Vision must be sufficient to read data reports, manuals and computer screens.
  • Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person.
  • Speech must be coherent to clearly convey or exchange information, including the giving and receiving of assignments and/or directions.
  • Position involves sitting most of the time, but may involve walking or standing for brief periods of time.
  • Must be able to travel in a limited capacity


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