Trade Compliance Associate - Join a Leading VC Firm through Robert Half

Are you a detail-oriented professional with a passion for regulatory compliance in the fast-paced world of investments? Robert Half is excited to partner with a reputable global venture capital firm in Palo Alto, California, to find a talented Trade Compliance Associate. This full-time role offers a unique opportunity to safeguard trading activities, ensure adherence to SEC regulations, and contribute to a high-performing team managing billions in assets across private and public markets. With a hybrid schedule, competitive $100,000 base salary, and strong career growth potential, this position is ideal for compliance professionals seeking stability and impact in the heart of Silicon Valley.

About the Role

The Trade Compliance Associate plays a pivotal role in the firm's compliance program, focusing on trade surveillance and regulatory oversight for public investment strategies. Reporting directly to the Chief Compliance Officer, you'll collaborate cross-functionally with Legal, Operations, Trading, Finance, and Investment teams. This position is perfect for those with 1-3 years of experience in securities compliance, offering hands-on involvement in daily trade reviews, regulatory filings, and system enhancements. Enjoy a collaborative environment with excellent mentorship, predictable hours, and a modern office setup that prioritizes work-life balance.

Key Responsibilities

Trade Surveillance & Monitoring

At the core of this role is proactive monitoring to mitigate risks and ensure compliance:

• Assist in preparing trade authorization forms and perform daily reviews of trade activity across multiple funds.
• Identify exceptions, emerging trends, or triggers for regulatory filings.
• Support pre-trade checks, restricted list monitoring, and trade approval processes.
• Initiate critical SEC filings, including Forms 4 and 5 for insider transactions, Forms 13D/G for beneficial ownership, and other required submissions.
• Coordinate seamlessly with internal Legal teams and external counsel.

Compliance Program Support

Drive continuous improvement in the firm's compliance framework:

• Help enhance trade surveillance systems, streamline data processes, and strengthen internal controls.
• Contribute to comprehensive risk assessments and gap analyses, with a focus on Material Non-Public Information (MNPI) and information-barrier practices.
• Support employee training programs on MNPI handling, restricted lists, and trading rules.
• Partner with Trading, Finance, and Accounting to maintain accurate, complete trade data for reporting and audits.
• Assist in compliance testing, quarterly reporting cycles, and preparations for regulatory examinations.

Required Qualifications

To succeed in this dynamic role, candidates should demonstrate:

• A Bachelor's degree in Finance, Business Administration, Law, or a related discipline.
• 1-3 years of relevant experience in trade compliance, securities compliance, or operations at an investment firm, hedge fund, or asset manager.
• Deep knowledge of U.S. securities laws, SEC regulations, and filing requirements (e.g., Forms 4, 5, 13D/G).
• Proficiency in compliance tools, trade surveillance software, and Excel for data analysis.
• Strong analytical mindset with exceptional attention to detail and problem-solving abilities.
• Excellent interpersonal skills for cross-functional collaboration and training delivery.
• Familiarity with MNPI policies, restricted lists, and pre-trade controls is highly preferred.
• Ability to thrive in a hybrid work model and adapt to a research-driven investment culture.

Prior experience in VC or public markets compliance will set you apart in this competitive Palo Alto job market.

Why Join Us?

This opportunity at a leading VC firm stands out for its blend of stability, growth, and rewards. Benefit from a competitive compensation package starting at $100,000 base plus annual bonus, comprehensive health coverage (medical, dental, vision), life and disability insurance, and a robust 401(k) program. Embrace a hybrid schedule in a state-of-the-art Palo Alto office, with strong work-life balance and predictable hours—rare in high-finance roles.

Gain unparalleled mentorship from seasoned compliance leaders and build a long-term career in a collaborative, high-performing team renowned for disciplined investing in innovative sectors. Robert Half places you at top firms like this, ensuring your professional success. Ready to elevate your compliance career? Apply now through Robert Half and connect with our expert recruiters today!

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