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The Compliance Administrative Assistant I performs a variety of administrative functions supporting the Policies and Procedures Team, consisting of Analysts, CCOs, Directors and Compliance Officers (the “P&P Team”) and works to facilitate the smooth operation of the day-to-day P&P Team activities.
ESSENTIAL DUTIES AND RESPONSIBILITIES
Provide general administrative support, including:
◦ Creating, maintaining and editing documents, spreadsheets, presentations or other applicable files
◦ Proofreading and formatting documents
◦ Draft emails for Policy Approvals
◦ Assist with Manual Publishing process
Track action items and deliverables for the P&P Team.
Maintain information on internal SharePoint site which includes tracking for various Company entities including:
◦ Bi-monthly and as required policy updates
◦ Correspondence and drafts
◦ Maintain Update Tracking List: compose and distribute meetings notes, routine correspondences, and reports
◦ Update Notes
Log and pull policies as requested by Regulators, Legal, or Internal Audit as needed.
Prepares and processes incoming and outgoing mail.
Prepares responses to correspondence containing routine inquiries.
Maintain calendar; schedules appointments, meetings, and conference calls; prepares agendas and make arrangements for meetings including travel arrangements.
Greet and respond to visitors or callers. This includes:
◦ Taking messages
◦ Transferring or directing them to appropriate personnel
◦ Responding to inquiries;
◦ Researching questions
◦ Resolving issues
Strong administrative or similar supporting background experience with a proactive mindset in order to stay steps ahead of P&P Team’s needs.
Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes ownership of responsibilities and accountability for mistakes.
Excellent conceptualization, presentation and communication skills to effectively execute change.
Ability to organize, prioritize and manage multiple tasks while meeting set deadlines.
EDUCATION AND/OR EXPERIENCE
Minimum Required: Bachelor’s degree or equivalent combination of education and related experience
Minimum Required: 1 - 2 years administrative experience
Proficient in Microsoft Excel, Word, PowerPoint, Outlook, and SharePoint
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