• Trade Compliance Associate at Investment Firm

    Robert Half Finance & Accounting (Palo Alto, CA)


    Description

    Reach out to Michelle Espejo via email or LinkedIn for additional information or questions.

     

    Trade Compliance Associate | Investment Firm | Palo Alto| Hybrid | $base + Bonus + Excellent Benefits

     

    Join a top-tier investment firm backing breakthrough biopharma companies worldwide. With billions raised and dozens of IPO and M& A exits, this team sits at the intersection of finance and science, helping bring life-changing therapies to market.

     

    This role is ideal for someone early in their compliance career who wants real exposure, smart teammates, and meaningful work. You’ll partner closely with Trading, Legal, and Finance to support trade oversight, regulatory filings, and surveillance across public market investments. The firm offers competitive pay, strong benefits, a solid 401k, hybrid flexibility, and a culture that invests in growth.

    Responsibilities

    + Review trade authorizations and monitor daily trading activity

    + Support pre-trade checks, restricted lists, and trade approvals

    + Prepare and coordinate SEC filings (Forms 4, 5, 13D/G)

    + Perform trade surveillance, compliance testing, and exam support

    + Improve trade monitoring systems and workflows

    + Partner with internal teams on accurate trade data and controls

    + Assist with training on trading rules, MNPI, and policies

     

    For fastest consideration, reach out to Michelle Espejo via email or LinkedIn.

    Requirements

    + 2-5 years in investment compliance, trade surveillance, fund ops, or related legal work

    + Working knowledge of public-company trading rules and insider-trading controls

    + Strong attention to detail with solid analytical and communication skills

    + Experience supporting firms trading public securities preferred

    + Exposure to SEC or FINRA exams a plus

     

    Interested or even just curious? Reach out to Michelle Espejo via email or LinkedIn. Michelle is a Permanent Placement Recruiter at Robert Half Financial Services. Happy to connect even if not actively looking and just curious about the market.

     

    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.

     

    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.

     

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