CrawlJobs Logo

Trade Compliance Associate

https://www.roberthalf.com Logo

Robert Half

Location Icon

Location:
United States , Palo Alto

Category Icon
Category:

Job Type Icon

Contract Type:
Not provided

Salary Icon

Salary:

Not provided

Job Description:

Join a top-tier investment firm backing breakthrough biopharma companies worldwide. With billions raised and dozens of IPO and M&A exits, this team sits at the intersection of finance and science, helping bring life-changing therapies to market. This role is ideal for someone early in their compliance career who wants real exposure, smart teammates, and meaningful work. You’ll partner closely with Trading, Legal, and Finance to support trade oversight, regulatory filings, and surveillance across public market investments.

Job Responsibility:

  • Review trade authorizations and monitor daily trading activity
  • Support pre-trade checks, restricted lists, and trade approvals
  • Prepare and coordinate SEC filings (Forms 4, 5, 13D/G)
  • Perform trade surveillance, compliance testing, and exam support
  • Improve trade monitoring systems and workflows
  • Partner with internal teams on accurate trade data and controls
  • Assist with training on trading rules, MNPI, and policies

Requirements:

  • 2-5 years in investment compliance, trade surveillance, fund ops, or related legal work
  • Working knowledge of public-company trading rules and insider-trading controls
  • Strong attention to detail with solid analytical and communication skills
  • Experience supporting firms trading public securities preferred
  • Exposure to SEC or FINRA exams a plus

Nice to have:

Exposure to SEC or FINRA exams a plus

What we offer:
  • competitive pay
  • strong benefits
  • solid 401k
  • hybrid flexibility
  • culture that invests in growth

Additional Information:

Job Posted:
January 20, 2026

Work Type:
Hybrid work
Job Link Share:

Looking for more opportunities? Search for other job offers that match your skills and interests.

Briefcase Icon

Similar Jobs for Trade Compliance Associate

Trade Compliance Specialist

In this vital role, you will be responsible for the integration of policy and op...
Location
Location
Portugal , Lisbon
Salary
Salary:
Not provided
amgen.com Logo
Amgen
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • High school diploma / GED and 10 years of Trade Compliance experience
  • Associate’s degree and 8 years of Trade Compliance experience
  • Bachelor’s degree and 4 years of Trade Compliance experience
  • Master’s degree and 2 years of Trade Compliance experience
  • Doctorate degree
Job Responsibility
Job Responsibility
  • Manage operational import and export activities in alignment with Amgen's Trade Compliance policies and applicable customs and trade sanctions regulations
  • Provide Trade Compliance guidance and support to key stakeholders across the organization
  • Act as an escalation point within the Global Trade & Customs Excellence team to resolve complex trade matters
  • Monitor, analyze, and interpret customs and export control regulations to support compliant operations
  • Support customs-related audits and inspections
  • Collaborate cross-functionally to support planning initiatives and ensure Trade Compliance integration
  • Manage export controls, including the acquisition of relevant export permits and licenses
  • Interface with Customs authorities and third parties to address customs issues and avoid operational delays
  • Collect, analyze, and report key transactional performance metrics
  • Oversee outsourced brokerage service providers to ensure service performance and compliance
What we offer
What we offer
  • Vast opportunities to learn, develop, and grow within our global organization
  • A diverse and inclusive community where colleagues feel empowered to innovate and contribute ideas
  • A comprehensive Amgen Total Rewards Plan covering healthcare, finance, wealth, and career benefits
Read More
Arrow Right

Compliance Associate

We are seeking a Compliance Associate to join our team in Elmhurst, Illinois. Th...
Location
Location
United States , Elmhurst
Salary
Salary:
80000.00 - 85000.00 USD / Year
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Proficiency in Accounting Software Systems is crucial
  • Familiarity with ADP - Financial Services is required
  • Proficiency in using CRM systems is expected
  • Ability to use Crystal Reports is essential
  • Knowledge of ERP - Enterprise Resource Planning is necessary
  • Experience with About Time is beneficial
  • Understanding of Accounting Functions is mandatory
  • Auditing skills are required
  • Experience in Claim Administration is necessary
  • Excellent Communication skills are a must
Job Responsibility
Job Responsibility
  • Utilize Sungard Protegent system for monitoring trading activity and real-time alerts
  • Ensure accurate and up-to-date record keeping for swift response to inquiries or audits
  • Contribute to the development, review, and upkeep of our Written Supervisory Procedures
  • Foster a culture of compliance and trading by working closely with senior management
  • Provide continuous support for registered investment advisors and representatives
  • Collaborate effectively with all departments, both independently and as part of a team
  • Review and approve marketing materials, including social media posts, to ensure compliance
  • Utilize CRM and ERP software systems to manage customer interactions and business resources
  • Use accounting software systems and perform accounting functions as required
  • Use communication and auditing skills to administer claims and produce clear reports
What we offer
What we offer
  • medical insurance
  • vision insurance
  • dental insurance
  • life insurance
  • disability insurance
  • 401(k) plan
  • Fulltime
Read More
Arrow Right

Senior Associate, Compliance

Heitman is currently looking for a Senior Associate to join our Compliance team ...
Location
Location
United States , Chicago
Salary
Salary:
85000.00 - 100000.00 USD / Year
heitman.com Logo
Heitman
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 2-4 years of compliance related experience within private equity, public equities, investment management, or financial institutions
  • Possess high attention to detail with an ability to effectively manage multiple deadlines
  • Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors
  • Understanding of the investment management business and key processes typical to the industry including back-office processes or fund operations
  • Demonstrates substantive knowledge of the rules and regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
  • Strong written and oral communication skills
  • Intermediate Microsoft Word, PowerPoint, and Excel skills
  • Positive attitude and ability to build relationships across the business
Job Responsibility
Job Responsibility
  • Promote and protect Heitman’s reputation for ethics, integrity and honesty
  • Hold Code of Ethics orientation meetings for new employees, manage employee certifications, pre-clear personal trade requests, monitor and test employee trading and manage COE logs
  • Maintain corporate governance for investment and corporate entities, including drafting consents and resolutions
  • Prepare client-mandated compliance reports/certifications
  • Prepare and submit regulatory filings, including Form ADV, Form PF, Form 13F, Form N-PX, TIC SLT, and others
  • Maintain compliance calendar and review/address regulatory changes as directed
  • Review processes for compliance with contractual provisions of client contracts
  • Perform periodic tests of procedures and/or transactions to monitor the effectiveness of the compliance programs
  • Prepare and conduct training programs
  • Liaise with various groups within the firm and external service providers as needed
What we offer
What we offer
  • Competitive compensation
  • Annual bonus plan
  • Human-centric benefits package
  • Fulltime
Read More
Arrow Right

Senior Compliance Associate

Are you an experienced compliance professional with a strong background in finan...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
weareorbis.com Logo
Orbis Consultants
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum 5 years’ compliance/risk experience within general insurance
  • Strong knowledge of financial crime regulations and the FCA Handbook
  • Familiarity with the Lloyd’s market is highly desirable
  • Experience reviewing and negotiating TOBAs
  • Detail-oriented, collaborative, and confident in managing competing priorities
Job Responsibility
Job Responsibility
  • Conduct sanctions and financial crime checks on new and renewing business
  • Research UK and international regulatory frameworks, sanctions regimes, and market developments
  • Review and negotiate TOBAs and other trading agreements
  • Support horizon scanning and regulatory reporting
  • Assist with sign-off of financial promotions and marketing materials
  • Provide training and guidance to business teams
Read More
Arrow Right

Senior Compliance Associate

Are you an experienced compliance professional with a strong background in finan...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
weareorbis.com Logo
Orbis Consultants
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum 5 years’ compliance/risk experience within general insurance
  • Strong knowledge of financial crime regulations and the FCA Handbook
  • Familiarity with the Lloyd’s market is highly desirable
  • Experience reviewing and negotiating TOBAs
  • Detail-oriented, collaborative, and confident in managing competing priorities
Job Responsibility
Job Responsibility
  • Conduct sanctions and financial crime checks on new and renewing business
  • Research UK and international regulatory frameworks, sanctions regimes, and market developments
  • Review and negotiate TOBAs and other trading agreements
  • Support horizon scanning and regulatory reporting
  • Assist with sign-off of financial promotions and marketing materials
  • Provide training and guidance to business teams
  • Fulltime
Read More
Arrow Right

Logistics Associate Manager

This role, part of Hewlett Packard Enterprise team, oversees distribution and lo...
Location
Location
Vietnam , Hanoi
Salary
Salary:
Not provided
https://www.hpe.com/ Logo
Hewlett Packard Enterprise
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • At least 10 years experience in logistics operations, logistics program management, supply planning, and trade compliance
  • in-depth knowledge of logistics operations, strategy, inventory planning, and Asia Trade Compliance processes
  • ability to reconcile and manage returns/stock rotation, merge in transit, perform compliance checks, generate trade documents, and implement SOX compliance revenue practices
  • knowledge of global/regional freight forwarding providers and fulfillment hub providers
  • experience with logistics planning/analytics
  • experience handling cross-functional key projects
  • ability to communicate effectively with cross-functional teams
  • knowledge of process management tools, Six Sigma, metrics and performance measurement techniques
  • strategic thinking and planning abilities with a detail-oriented, hands-on approach
  • results-oriented with a high sense of urgency
Job Responsibility
Job Responsibility
  • Provide managerial oversight for a large distribution center and cross-dock operated by the 3PL
  • prepare, lead, and supervise labor, capacity, and DC/cross-dock efficiency
  • work closely with process owners and internal business units like Sales, Order Management, Revenue, Planning, Tax, and Compliance
  • develop and implement process roadmaps
  • align with third-party system integration partners and consultants to plan and implement programs
  • lead project timelines and prioritize initiatives
  • coordinate with functional organizations to resolve cross-functional process linkages
  • identify areas for workflow and application improvements
  • continuously monitor and adopt industry best practices in logistics and trade compliance.
What we offer
What we offer
  • Comprehensive health, financial, and emotional wellbeing benefits
  • specific programs for personal and professional development
  • commitment to inclusion and flexibility to manage personal needs.
  • Fulltime
Read More
Arrow Right

Logistics Associate Manager

The Asia Logistics Associated Manager shall be responsible for oversight of the ...
Location
Location
Vietnam , Hanoi City
Salary
Salary:
Not provided
https://www.hpe.com/ Logo
Hewlett Packard Enterprise
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Should possess at least 10 years demonstrated in dynamically more responsible leadership positions in areas of Logistics operations, Logistics Program management, Supply Planning & Trade Compliance
  • Should display an in depth knowledge of both Logistics operations, strategy, inventory planning and Asoa Trade Compliance processes including but not limited to understanding Monitor and Deliver Order Shipments across a Regional footprint
  • Reconcile and Manage Returns/Stock Rotation, Merge in Transit, Perform Compliance Checks, Generate Trade Documents and SOX compliance revenue recognition practices
  • Understand the capabilities of Global / Regional Freight Forwarding Providers as well as Fulfillment Hub Providers. Knowledge in areas of logistics planning/analytics would be advantageous
  • Experience handling key projects that are cross-functional
  • Successful candidate should possess a consistent record to effectively communicate with cross-functional teams and objectively present pros and cons of alternatives. Be capable to assess and provide guidance on reducing risks of various alternatives
  • Extensive knowledge of process management tools, Six Sigma, metrics, and performance measurement techniques. The ideal candidate knows how to employ these tools and processes effectively incorporating metrics by which progress against plan can be measured
  • Demonstrated successful experience in assessing process requirements, process development and implementation, and process maintenance
  • Must be able to think strategically and plan effectively
  • yet possess a detail-oriented, hands-on approach. Must be results-oriented and ability to operate with a high sense of urgency
Job Responsibility
Job Responsibility
  • Provide managerial oversight for a large DC and cross dock, as operating by Juniper’s crafted 3PL. Prepare, lead, and supervise labor, capacity and DC/cross dock efficiency
  • Work closely with various internal business/process owners, within logistics as well as with Sales, Order Management, Revenue, Planning, Tax and Compliance etc. Develop and implement a plan (roadmap) to achieve objectives for each of these processes
  • Align with and leverage third party system integration partners and consultants to plan and implement agreed programs
  • Lead project timelines. Be able to prioritize, make business trade-offs, and sequence initiatives necessary to achieve long term process goals. Ensure the integration of initiatives is completely consistent with the company's and WWOPS functional strategic goals and objectives
  • Coordinate with functional organizations to resolve key linkage between cross-functional processes. Proactively supervise and handle their linkage
  • Build by collaboration with the process owners, business case documents supporting project initiatives including business cases, return on investments, project functional scopes and specifications
  • Proactively and continuously identify business areas where improvements can be made to streamline workflow and application flow resulting in measurable savings of time, effort and costs
  • Constantly supervises industry for standard methodologies in the Logistics and Trade Compliance functional business areas to leverage in business processes, driving improvements in workflow and applications
What we offer
What we offer
  • Health & Wellbeing
  • Personal & Professional Development
  • Unconditional Inclusion
  • Fulltime
Read More
Arrow Right

Commercial Associate General Counsel

We are seeking a mid-level Counsel to join our growing Legal team, focusing on c...
Location
Location
United States , Palo Alto
Salary
Salary:
200000.00 - 260000.00 USD / Year
1x.tech Logo
1X Technologies
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • JD (or equivalent) and active license to practice law in at least one U.S. jurisdiction
  • 10+ years of legal experience, including time at a reputable law firm and in-house legal department
  • Extensive experience with commercial contracts related to supply chain, procurement, or manufacturing
  • Strong knowledge of U.S. and international trade regulations, tariffs, and customs
  • Familiarity with product safety and regulatory compliance standards
  • Exceptional drafting, negotiation, and communication skills
  • Practical, business-oriented approach to legal problem-solving
  • Ability to thrive in a fast-paced, global, and collaborative environment
Job Responsibility
Job Responsibility
  • Draft, review, and negotiate a variety of commercial agreements, including supply, distribution, vendor, procurement, and manufacturing contracts
  • Provide legal advice on contract structures, risk allocation, and supplier relationships
  • Advise on import/export regulations, tariffs, and trade controls impacting product sourcing and distribution
  • Partner with supply chain, logistics, and finance teams to ensure compliance with U.S. and international trade laws
  • Monitor evolving trade regulations and assess their operational impact
  • Ensure compliance with product safety, labeling, and regulatory requirements across jurisdictions
  • Collaborate with operations and engineering teams to proactively address compliance risks
  • Serve as a trusted advisor to supply chain, procurement, and commercial operations teams
  • Support risk management, dispute resolution, and compliance training initiatives
  • Coordinate with external counsel on specialized legal matters
What we offer
What we offer
  • Health, dental, and vision insurance
  • 401(k) with company match
  • Paid time off and holidays
  • Equity
  • Fulltime
Read More
Arrow Right