What are the responsibilities and job description for the AA to Compliance position at Northbound Executive Search?
Job Description :
This role will support support the Chief Compliance Officer and the Compliance Analyst, the General Counsel, and the Associate General Counsel at a mid-size Private Equity firm. This role will assist with record-keeping and corporate maintenance. This Administrative Assistant will also provide administrative support to the NY-based compliance and legal teams. Our client has a great track record of talent development for it’s administrative staff and investment from all levels.
Job Responsibilities :
- Assist with Code of Ethics administration including filing incoming personal account statements and reconciliation of personal account statements against internal preclearance records.
- Assist with production of quarterly compliance reporting pack
- Compile, distribute and collect quarterly compliance certificates for 90 personnel
- Assist with document production for mock audits and any regulatory examinations
- Manage agendas and materials for various internal committee meetings
- Develop and populate the firm’s vendor management database
- Assist with scheduling and maintaining accurate training records for firmwide training (attendee lists, dates, times, materials) and for new hire training
- Assist with onboarding process for new hires and termination process for departing personnel
- Assist with recordkeeping and corporate maintenance
- Manage legal invoices for review and payment
Job Requirements :
Compensation : Open
Job ID : 8185
