On behalf of our client we are in search of an Administrative Assistant to join their team in near Oak Brook, Illinois in the Financial Services. The role primarily revolves around assisting the compliance team in managing compliance records, logs, and databases, and preparing documents for internal and external audits. The hours of operations are from 8:00am to 4:00pm or 9:00am to 5:00pm. A great team that offer a hybrid flexible schedule!
Responsibilities:
• Assist with the onboarding process for new employees
• Contribute to managing licensing and registration processes for representatives
• Aid in the preparation of documents for internal audits, regulatory examinations, and compliance reviews
• Participate in responding to regulatory inquiries or requests for information
• Assist in the creation, delivery, and tracking of compliance training programs for employees and registered representatives
• Support the preparation and timely filing of regulatory reports
• Aid in managing compliance records, logs, and databases
• Perform administrative tasks such as scheduling meetings, preparing reports, and managing correspondence for the compliance department
Requirements:
Associate’s or Bachelor’s degree in business, finance, or a related field preferred.
Minimum of 2 years of compliance experience within a dual registrant (broker-dealer and investment adviser) environment.
Effective verbal and written communication skills.
Proficiency in Microsoft Office Suite (Word, Excel, Outlook).
Excellent time management and organizational skills with attention to detail.
Ability to manage multiple tasks and meet deadlines.
