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Compliance Administrative Assistant

1 month ago

Greenwich, United States Mission Staffing Full time

Job Title: Compliance Administrative Assistant - Private Equity - Greenwich


Location: Greenwich, CT (3x a week in office)


Overview: Our client, a growing Private Equity firm, is seeking a skilled Compliance Administrative Assistant with 3-5 years of experience in legal or asset management environments. The ideal candidate will possess a strong background in compliance-related tasks, with a keen interest in legal frameworks and regulations. This position is based in Greenwich, CT, and requires on-site presence three days a week.


Responsibilities:

  1. Regulatory Compliance Support: Assist in ensuring adherence to relevant regulations, policies, and procedures.
  2. Documentation Management: Maintain and organize compliance-related documents, including policies, procedures, and regulatory filings.
  3. Record Keeping: Manage databases and records pertaining to compliance activities, ensuring accuracy and accessibility.
  4. Compliance Monitoring: Assist in monitoring compliance activities, including reviewing reports, identifying potential issues, and escalating as necessary.
  5. Training Support: Coordinate compliance training sessions, including scheduling, materials preparation, and participant tracking.
  6. Assistance in Audits: Provide support during compliance audits, including gathering requested documents and information.
  7. Policy and Procedure Review: Assist in reviewing and updating compliance policies and procedures to reflect regulatory changes and best practices.
  8. Communication Liaison: Serve as a point of contact for compliance-related inquiries from internal stakeholders and regulatory bodies.
  9. Risk Assessment: Support in conducting risk assessments and evaluations to identify compliance vulnerabilities.
  10. Special Projects: Contribute to ad hoc compliance projects and initiatives as needed.


Qualifications:

  1. Experience: 3-5 years of experience in a compliance-related role, preferably within legal or asset management sectors.
  2. Education: Bachelor's degree in Business Administration, Legal Studies, Finance, or related field preferred.
  3. Regulatory Knowledge: Strong understanding of relevant regulations (e.g., SEC, FINRA, GDPR) and their application within the industry.
  4. Organizational Skills: Excellent organizational and time management skills, with the ability to prioritize tasks effectively.
  5. Attention to Detail: High level of accuracy and attention to detail in managing compliance documentation and records.
  6. Communication: Clear and effective verbal and written communication skills, with the ability to interact professionally with diverse stakeholders.
  7. Analytical Skills: Strong analytical and problem-solving skills to assess compliance issues and recommend solutions.
  8. Technology Proficiency: Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and experience with compliance software or databases preferred.
  9. Team Player: Ability to work collaboratively within a team environment and support colleagues in achieving common goals.
  10. Professionalism: Demonstrated professionalism, integrity, and discretion when handling sensitive information.


Location and Schedule:

  • Location: Greenwich, CT
  • Schedule: On-site presence required three days a week, with flexibility for remote work as needed.


Benefits:

  • Competitive salary commensurate with experience
  • Comprehensive benefits package including health, dental, and retirement plans
  • Opportunities for professional development and advancement within the organization

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