Trade Compliance Associate - Join a Leading Investment Firm in Palo Alto, CA

Are you early in your trade compliance career and eager to gain hands-on experience at a prestigious hedge fund? Robert Half is proud to partner with a top-tier investment firm in Palo Alto, California, specializing in breakthrough biopharma companies worldwide. This Trade Compliance Associate role offers hybrid flexibility, competitive compensation starting at $100,000 base plus bonus, and exceptional benefits. With billions in assets raised and a track record of dozens of IPOs and M&A exits, this firm is at the forefront of finance meets science, accelerating life-changing therapies to market.

Partner closely with Trading, Legal, and Finance teams to ensure seamless trade oversight, regulatory compliance, and surveillance for public market investments. Ideal for motivated professionals seeking real exposure, smart colleagues, and meaningful impact in a high-growth environment. For fastest consideration, connect with Michelle Espejo via email or LinkedIn.

About the Role

This full-time, hybrid position in Palo Alto, CA, is perfect for compliance enthusiasts who thrive in dynamic investment settings. You'll support critical functions like trade monitoring, SEC filings, and policy enforcement, contributing to the firm's success in venture capital and hedge fund operations. Enjoy a culture that prioritizes growth, work-life balance, and innovation at the intersection of biotech and finance. Robert Half places top talent in such roles, ensuring you join a team invested in your professional development.

Key Responsibilities

As a Trade Compliance Associate, you'll play a pivotal role in maintaining regulatory adherence:

• Review trade authorizations and monitor daily trading activity to mitigate risks.
• Support pre-trade checks, manage restricted lists, and facilitate trade approvals.
• Prepare and coordinate essential SEC filings, including Forms 4, 5, 13D, and 13G.
• Conduct trade surveillance, compliance testing, and provide support during regulatory exams.
• Enhance trade monitoring systems and streamline workflows for efficiency.
• Collaborate with internal teams—Trading, Legal, Finance—on accurate trade data and robust controls.
• Assist in developing and delivering training on trading rules, MNPI (Material Non-Public Information), and compliance policies.

These responsibilities offer deep exposure to hedge fund operations, regulatory landscapes, and cutting-edge compliance tools, building a strong foundation for career advancement.

Required Qualifications

We seek candidates with:

• Entry-level to early-career experience in compliance, preferably in finance or investment firms.
• Bachelor's degree in Finance, Accounting, Business Administration, Law, or a related discipline.
• Familiarity with SEC regulations, trade compliance, and filing requirements (Forms 4, 5, 13D/G).
• Analytical mindset with proficiency in data review and surveillance software.
• Strong organizational skills to handle high-volume trading activity.
• Excellent interpersonal skills for cross-functional partnerships.
• Knowledge of MNPI policies, restricted lists, and pre-trade controls.
• Ability to maintain confidentiality in a fast-paced hedge fund environment.

Prior experience in investment firms, biopharma VC, or regulatory roles is a plus. Robert Half supports diverse candidates ready to excel in Palo Alto's vibrant tech-finance hub.

Why Join Us?

Thrive in Palo Alto, California, with a hybrid model blending office collaboration and remote flexibility. Compensation includes a $100,000 base salary, performance bonus, excellent benefits (health, dental, vision), a robust 401k match, and perks like professional development stipends. This investment firm fosters a supportive culture, mentorship from industry leaders, and opportunities to impact global biopharma innovations. Join via Robert Half for streamlined placement—reach out to Michelle Espejo today. Keywords: trade compliance jobs Palo Alto, SEC compliance associate, hedge fund compliance careers California.

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