Compliance Associate

Description

Robert Half Legal is seeking a detail-oriented Legal & Compliance Associate for an initial six-month contract assignment with an established, SEC-registered investment management firm in San Mateo, CA. Reporting to the General Counsel & Compliance Officer, this role will support the implementation, documentation, and improvement of internal legal and regulatory compliance processes.

The ideal candidate will have a background in financial services, investment management, compliance operations, or related operational support, with demonstrated experience managing projects, organizing complex information, and improving internal workflows. This is a hybrid (4 days onsite/1 day remote), hands-on position combining compliance administration, legal operations, systems implementation, and records management.

Key Responsibilities

• Document, implement, and improve legal and compliance policies, procedures, workflows, and tracking systems.

• Develop and maintain client investment guidelines matrices, restricted securities lists, and compliance calendars.

• Support the rollout of a new compliance management platform, including process documentation and implementation coordination.

• Develop standardized processes for class action claims and inventory, classify, organize, and digitize firm records, including populating a centralized contract repository.

• Assist with compliance monitoring and testing involving billing, soft dollar arrangements, and trade allocation.

• Support the firm's Annual Compliance Review, including documentation, remediation tracking, and implementation.

• Coordinate legal and compliance projects, maintain accurate records, communicate progress, and proactively escalate issues.

• Perform additional compliance, legal operations, and administrative duties as assigned.

Requirements

• Bachelor's degree required.

• 2–5 years of financial services experience in compliance, fund administration, custody, trading or middle-office operations, asset management or broker-dealer client onboarding/services, financial audit, or administrative support involving substantial project, records, or operations responsibilities.

• Experience with asset management firms, SEC-registered investment advisers, or other regulated financial services environments highly desirable.

• Demonstrated experience with process documentation, project coordination, records management, or operational improvements.

• Strong Microsoft Excel proficiency and ability to quickly learn new software; familiarity with compliance management systems or regulatory documentation is a plus.

• Practical experience using AI tools, with sound judgment in verifying outputs.

• Excellent organizational skills, attention to detail, written communication, and discretion with confidential information.

• Ability to work independently with clear direction, manage priorities, proactively flag issues, and perform hands-on administrative tasks, including sorting, scanning, and digitizing records.

• Availability to work onsite in San Mateo at least four days per week.

Additional Requirements: Background check, confidentiality agreement, and compliance with the firm's Code of Ethics and policies, including personal trading pre-clearance.

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.

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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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