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Executive Assistant / Compliance Administrator

Information About This Job

Job Title: Executive Assistant / Compliance Administrator
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: 8 months ago

Job Description

About The Role

Executive Assistant to the Director of Legal & Compliance and also providing support to the legal team which includes Company Secretariat, as well as administrative support in certain compliance areas to the Compliance team.  This combined Department is an internal and external client driven environment and therefore an ability to cope efficiently and effectively with competing priorities and deadlines is essential.

Accurate, fast typing, secretarial and software skills are required as are efficient, organised administrative capabilities to deal with legal documentation volume, emails, arranging meetings, controlling diaries, assisting the Company Secretary in preparing board packs and company filings, organising travel and covering expenses and invoice reconciliation.  Strong organisational and interpersonal skills are required to liaise and build collegiate relationships with colleagues, senior management and external lawyers/advisers at all levels.

The position requires a strong team player with an experienced enthusiastic proactive approach that is confident, likes detail, able to prioritise, manage the Director’s and team’s diary appropriately, organise department administration, understand confidentiality requirements and commit fully to the role.  An interest in financial services and/or legal, funds and regulatory areas is essential.


Key Responsibilities

  • Providing all PA and administrative support to the Director of Legal and Compliance and the combined team including diary management, travel arrangements, email and voice mail management

  • Ability to manage the preparation and document retention of legal agreements and related materials

  • Preparation, collation and distribution of Board and Committee papers/packs

  • Invoices and expenses for the team

  • Arranging meetings and organising video conferences

  • Ability to structure databases and maintain

  • Maintaining accurate compliance training records for the team

  • Administering the compliance monitoring certifications from all personnel within the firm

  • Monitoring PA Dealing approvals, post trade checks and certifications

  • Responding to section 793 Companies Act requests

  • Ownership of the new joiner process

  • Overseeing monitoring of Gifts and Entertainment registers and comparing for consistency with Finance records

  • Administrator for Complinet online training provided to personnel

  • Arrange for FCA Controlled Function on line submissions, as and when required and assist the Compliance Officer with maintenance of records and FCA correspondence

  • Supervising corporate filings to Companies House

  • Updating all Training and Competence documentation and training records

  • Maintaining sickness and holiday absence on HR system

  • Ability to update organisational charts using the Visio package and assist with compliance procedures, policies and manual updates.


Essential Skills, Qualifications

  • Excellent proficiency in Microsoft packages

  • Strong organisational skills to manage electronic and hard filing systems and compliance records.

  • Strong awareness of ethics and confidentiality requirements.

  • Good presentation skills

  • Attention to detail and accuracy essential

  • Excellent time management skills with communication skills and confidence in dealing with clients (internal and external) and service providers

  • Ability to help within the team where required to “get the job done” and to use initiative in busy periods

  • Legal secretarial experience desirable but not essential

  • Experience within an FCA regulated firm very desirable

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