Position Summary
The Compliance Assistant focuses on daily, monthly and quarterly recurring tasks for the Compliance department in addition to providing assistance with various Compliance related items to advisor partners through the on-boarding process. The Compliance Assistant will need to be efficient and highly detail oriented.
Essential Duties and Responsibilities
The essential functions include, but are not limited to the following:
- Review various Compliance submissions on a daily basis, documenting the necessary Firm requirements.
- Complete various ongoing internal testing to ensure compliance with applicable rules and regulations.
- Maintain and revise standard operating procedures for assigned Compliance topics as needed.
- Maintain and revise Compliance advisor-facing training guides as updates or changes are made.
- Cross train on assigned functions and responsibilities of the other Compliance Associate(s) within the department to provide redundancy for the Compliance Team as needed.
- Help to proactively prevent, detect and resolve any and all compliance issues in conjunction with the firm’s other Compliance Team members.
- Support various other functions of the business as needed
Minimum Qualifications (Knowledge, Skills, and Abilities)
- Associates Degree or relevant experience in Accounting or Finance
- 1-2 Years of experience in the Financial Services Industry, not required but preferred
- Comfortable and familiar with general technology and software applications (Microsoft Office products, general computer navigation, etc.)
- Strong Excel experience preferred
- Working knowledge of popular email campaign & social media sites, including but not limited to MailChimp, Facebook, Twitter, LinkedIn, etc.
- Desire a process-driven, task-oriented role
- Strong communication ability in person, over the phone and electronically is required
- High attention to detail and accuracy while carrying out specific workflows and systematic processes
- Self-motivated, diligent, hard-working, accountable, positive attitude
- Desire to be part of a flexible, team-oriented environment and contribute to the aggressive growth of a small business
Pay: $18.00 - $22.00 per hour
Benefits:
Work Location: In person
