Administrative Assistant - Wealth Compliance

Job description

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 complian...