Key Roles and Responsibilities
Compliance Management:
Manage client accounts in portfolio and billing software systems, prepare quarterly billing, and maintain billing files.
Coordinate with outside vendors as needed, work closely with the Chief Compliance Officer (CCO) to maintain proper documentation for books and records substantiation requirements.
Reconcile various income and expense accounts annually with assistance from an accountant.
Compliance Calendar:
Maintain a compliance calendar and keep CCO abreast of status, review with CCO monthly.
Act as a liaison and maintain relationships with third parties on compliance items assigned.
Keep CCO informed of identified compliance related issues.
General Office Duties:
Complete tasks associated with onboarding new employees, implement new processes and software technology when adopted by the firm.
Assist with other office maintenance responsibilities as assigned, including coordination with outside contractors.
Handle administrative functions, greet and direct clients and visitors, screen and route phone calls.
Meet with CCO weekly or more as needed.
Qualifications:
Advanced active listening and verbal and written communication skills.
Proactive and responsive, possessing a keen eye for detail.
Critical thinking and problem-solving acumen to identify options and solutions.
Excellent professional and mature demeanor, taking initiative as a self-starter.
Strong ethics and dedication to maintaining high confidentiality of firm and client data.
Education and Experience:
Bachelor's degree in accounting, finance or related business field.
Work experience in accounting, banking, legal or financial services preferred.
Ability to serve as a notary public or willingness to obtain.
Proficient in QuickBooks and Microsoft Office software.