Description

General Summary:

Under general supervision, but in line with established policies and procedures, assist the Compliance Officer in performing various compliance administrative duties.

Principal Responsibilities and Duties:

• Conduct an analysis of information pertaining to various compliance-related functions and regulations, as directed by the Compliance Officer.
• Prepares and presents a summary of findings to the Compliance Officer for review.
• Assist with maintaining the company's compliance library that provides adequate and necessary reference materials.
• Assist writing policies and procedures and disseminate information to management and employees.
• Complete special projects as assigned by the Compliance Officer.
• Gather data and compile various reports for management and the compliance department.
• Performs all other duties as assigned.

Qualifications

Skills and Abilities Required:

• Ability to read, analyze and interpret information as it pertains to compliance-related functions and regulations.
• Ability to demonstrate a high level of interpersonal skills to conduct productive communication and to effectively present oral and written communications.
• Ability to follow instruction and to work both independently and within a team environment.
• Ability to demonstrate punctuality and good attendance.
• Ability to define issues, collects data, establish facts, and draw valid conclusions.
• Proficient in computer programs, such as word processing and spreadsheet software programs.