Job Information
Robert Half Director Of Operations in San Francisco, California
Description
Great role, for consideration please reach out to Michael Lauer.
• Lead operations and compliance program and serve as the face to regulators, auditors, and all external and internal stakeholders
• Manage and be the primary point person on all compliance and legal needs by ensuring good regulatory standing, managing and growing the compliance program, conducting regular mock audits, and supporting the growing needs of the platform
• Proactively execute on the necessary regulatory filings, license registrations, and other requirements for the business to be compliant
• Lead risk management for the business and tailor appropriate compliance solutions to fit the needs
• Manage the relationship with outside counsel and third party compliance consultants in all regular correspondence as well as guiding the team to make decisions, enter into new agreements, or update existing policies, procedures, and legal documents
• Proactively work with operations and advisor teams to identify and establish proper control points in our processes and procedures to measure and enforce them
Requirements
Operations, FINRA
5-10 years of experience in Compliance, Risk, or Audit for registered investments adviser, broker-dealers, or more broadly in wealth management
You are incredibly organized and take pride in your meticulous attention to detail in your organization and comprehensiveness in documentation
You are comfortable sitting at the intersection of operations, strategy, and compliance as your role will be to identify and help provide controls to the business
You operate with ownership and are a proactive listener, answering not just the question but the follow-up question preemptively
You are an excellent communicator and can translate complex rules and regulations in a manner that everyone understands
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.
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