Compliance Associate

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.
• 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.