Compliance Assistant

Position Overview: The Compliance Administrative Assistant will provide comprehensive administrative support to the compliance team. The ideal candidate will have 3-5 years of experience in a similar role, strong organizational skills, and a keen eye for detail. This position requires a proactive individual who is adept at managing processes and ensuring compliance with regulatory standards.

Key Responsibilities:

1. Administrative Support: Provide general administrative support to the compliance team, including scheduling meetings, managing calendars, preparing documents, and handling correspondence.
2. Documentation Management: Maintain and organize compliance-related documentation, including policies, procedures, training materials, and regulatory filings. Ensure documents are up-to-date, easily accessible, and compliant with record-keeping requirements.
3. Compliance Monitoring: Assist in monitoring compliance with internal policies and regulatory requirements. Prepare and maintain compliance checklists and reports.
4. Process Improvement: Identify opportunities to streamline compliance processes and enhance efficiency. Implement best practices for document management and regulatory reporting.
5. Regulatory Filings: Support the preparation and submission of regulatory filings and reports. Track filing deadlines and ensure timely and accurate submissions.
6. Training Coordination: Assist in coordinating compliance training programs for employees. Maintain training records and track completion of mandatory training sessions.
7. Audit Support: Provide support during internal and external audits, including gathering and organizing documentation, preparing audit materials, and responding to auditor requests.
8. Correspondence Management: Handle correspondence with regulatory agencies, clients, and other stakeholders. Ensure all communications are documented and filed appropriately.
9. Compliance Research: Conduct research on regulatory requirements and industry best practices. Summarize findings and provide recommendations to the compliance team.
10. Special Projects: Assist with special projects and initiatives as directed by the compliance team. Provide support in implementing new compliance programs and procedures.

Qualifications:

• Bachelor’s degree
• 3-5 years of experience in a compliance or administrative role within the finance or legal industry.
• Strong organizational and time-management skills, with the ability to manage multiple tasks and meet deadlines.
• Excellent attention to detail and accuracy in work.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and document management systems.
• Strong written and verbal communication skills.
• Ability to work independently and as part of a team.
• Familiarity with regulatory requirements and compliance best practices in the finance industry is a plus.
• Demonstrated ability to improve and streamline processes.