This position works directly with the Compliance team. The Compliance Assistant helps identify functions and business practices requiring compliance activities. This position assists to develop, implement and evaluate the compliance plan and the related activities to ensure it promotes an institutional culture favorable to compliance.
- Strong written and verbal communication skills
- Ability to make, explain, and drive sound and fact based decisions
- Aptitude to work autonomously and as part of a team
- Ability to communicate effectively with people from all areas regarding compliance
- Proficient using computers and Microsoft programs such as Outlook, Excel, Word, etc.
- Preferred experience using financial software tools (Docupace, Salesforce, DocuSign)
- Gather, review and maintain review of ‘access’ persons Compliance documents
- Create, maintain and distribute quarterly Compliance documents
- Data gathering for response to regulatory inquiries as needed
- Review of bi-monthly and monthly reports – report any issues found
- Research projects or initiatives
- Process Compliance mailings
- Assist in the resolution of compliance and/or quality assurance issues following appropriate internal processes
- Perform related work as assigned
- Basic administrative functions such as electronic and physical filing