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SUMMARY:
The Administrative Assistant - Compliance is responsible for the daily administrative duties of the Broker Compliance area as well as assisting with various projects, reporting and tracking tasks. It supports the needs of the organization's functions related to the compliance department. This position works with minimal instruction or supervision. The Administrative Assistant – Compliance will be the assistant to the Sr Compliance Director – Wealth & Ins.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions.
Draft correspondence, memoranda and other documents as needed.
Maintain spreadsheets for employee licenses.
Assist with training modules, training of new employees, etc.
Prepare materials and documentation pertaining to compliance training.
Conduct research as needed on regulatory rules.
Compile information and maintain necessary compliance documents to support compliance monitoring and auditing activities.
Assist in preparation and organization of training presentations on compliance.
Orders and maintains sufficient inventory of office supplies and equipment.
Complete special projects as assigned by Compliance management.
Gather data and compile various reports for management.
Perform general administrative assistant duties including: typing, copying, scanning and filing.
Assist with the production of reporting for the Compliance Department.
Assemble compliance materials for monthly packages for the Board meeting, Risk meetings and other meetings.
Organize and maintain confidential documentation which may be in either hardcopy or electronic copy.
Assist in keeping the Compliance share drive organized.
Ability to maintain sensitive information and have considerable use of tact and confidentiality.
Additional duties at the discretion of the Sr Compliance Director – Wealth & Ins.
OTHER REQUIREMENTS:
Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the bank’s policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner.
High school diploma or GED required.
Minimum of 2 years of experience working in an office setting assisting with confidential matters preferred.
High level of proficiency in using Microsoft products including: Excel, Work, PowerPoint and Outlook required.
High school diploma or GED required.
Minimum of 2 years of experience working in an office setting assisting with confidential matters preferred.
High level of proficiency in using Microsoft products including: Excel, Work, PowerPoint and Outlook required.
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