Executive Assistant

Job Description

Be the point of contact for all internal and external interactions on behalf of GC/CCO regarding firm business

• Organize and follow up on all meeting requests (internal and external) for the GC/CCO
• Oversee and assure that GC/CCO calendar is constantly up to date with all information relative to his business dealings.
• Prioritize issues where there is a conflict and re-schedule as necessary
• Prepare materials, meeting room requirements, all travel logistics related to incoming/external travel f
• Prepare and submit Expense Reports
• Prepare meeting agendas and PowerPoint presentations as needed
• Coordinate and obtain senior management/Board signatures for various regulatory filings
• Complete various administrative assignments including but not limited to photocopying, faxing, scheduling meetings/calls and registering Compliance staff for conferences, webinars, etc.
• Provide secondary support to other Compliance staff
• Manage calendars including: scheduling appointments, confirming meetings, coordinating with other Assistants
• Schedule complex meetings and maintain multiple calendars
• Create and/or proof memos and letters
• Complete various Compliance-related projects including but not limited to:
• Reconcile Restricted List on a monthly basis (PTCC and excel files)
• Monitor firm new hires to obtain completed new hire documentation, schedule initial meetings with CO & CCO|CRC, etc.
• Assist in following up with employees regarding open Compliance certifications
• Coordinate New Associate and Annual Firm-wide Compliance Training (i.e. coordinate of dates, print materials and track attendance)
• Assist Compliance Officers in meeting various state Lobbyist Filings (Quarterly & Annually)
• Track receipt of limited amount of paper brokerage statements received from employees’ brokerage firms, as well as capital statements requested in connection with employees’ private placement holdings

Qualifications

• Bachelor degree or equivalent experience preferred
• 5 plus years of Administrative Assistant experience (Financial Services, Legal and/or Compliance industry preferred, but not required)
• High level of problem solving ability including independent judgment and decision making skills
• Excellent attention to detail, comfort with large data sets, ability to recognize and correct discrepancies.