B
Compliance Administrator
Brandywine Trust Company, LLC
Full-time
On-site
Hockessin, DE, United States
Compliance Administrator
SUMMARY
The Administrator will assist the Compliance Officer in completing functions designed to assure the Company's compliance with applicable regulation and to identify and mitigate risks associated with the Company's business.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.
Develop and maintain a compliance calendar;
Assist with the completion of various regulatory filings;
Complete self-assessments designed by Compliance Officer;
Complete the annual insurance application;
Conduct compliance monitoring reviews;
Prepare compliance monitoring reports;
Assist with revisions of policies and procedures;
Research and respond to compliance-related questions posed by personnel;
Effectively provide professional internal and external communication whether written or verbal;
Assist with compliance audit and examination requests;
Conduct reviews of customer accounts and activity;
Other duties as assigned
SUPERVISORY RESPONSIBILITIES
This job has no supervisory responsibilities.
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily and have an unblemished record of integrity. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
EDUCATION AND EXPERIENCE
Education should include at least a high school diploma with a strong preference for a college degree. Experience should include at least five years in an administrative or executive secretarial role, either of which included substantive responsibilities. Prior experience in regulatory compliance or risk management department of a bank, broker, or other financial institution would be a plus.
SPECIAL SKILLS
To be effective in this position, the Administrator must possess excellent organizational skills, be detail oriented, and be able to complete assigned responsibilities with limited supervision. The Administrator will need strong interpersonal skills, in order to interact with co-workers in the performance of compliance testing. The Administrator will have sight of confidential information and must demonstrate the highest willingness and ability to keep records in the strictest confidence.
LANGUAGE SKILLS
The Administrator must have the ability to read and comprehend instructions, short correspondence, and memos, as well as the ability to write simple correspondence, particularly explanations of findings. The Administrator must be able to speak clearly and concisely.
MATHEMATICAL AND COMPUTER SKILLS
Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. A Basic knowledge of MS Excel, Word and Powerpoint are required and advanced skills in Excel would be a plus.
REASONING ABILITY
Ability to apply common sense understanding to carry out instructions furnished in written, oral or diagram form. Ability to deal with problems involving several concrete variables in standardized situations.
PHYSICAL DEMANDS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
While performing the duties of this job, the employee is regularly required to walk and talk or hear. The employee frequently is required to stand, sit, use hands to finger, handle, or feel and reach with hands and arms. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision and ability to adjust focus.
Repetitive motion of arms, wrists and hands is required in either a sitting or standing position for occasionally extended periods of time. The employee is occasionally required to climb or balance and stoop, kneel, or crouch.
Job Type: Full-time
Expected hours: 37.5 per week
Benefits:
401(k)
Dental insurance
Employee assistance program
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Professional development assistance
Vision insurance
Education:
High school or equivalent (Required)
Experience:
compliance: 5 years (Preferred)
Ability to Commute:
Hockessin, DE 19707 (Required)
Work Location: In person
SUMMARY
The Administrator will assist the Compliance Officer in completing functions designed to assure the Company's compliance with applicable regulation and to identify and mitigate risks associated with the Company's business.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.
Develop and maintain a compliance calendar;
Assist with the completion of various regulatory filings;
Complete self-assessments designed by Compliance Officer;
Complete the annual insurance application;
Conduct compliance monitoring reviews;
Prepare compliance monitoring reports;
Assist with revisions of policies and procedures;
Research and respond to compliance-related questions posed by personnel;
Effectively provide professional internal and external communication whether written or verbal;
Assist with compliance audit and examination requests;
Conduct reviews of customer accounts and activity;
Other duties as assigned
SUPERVISORY RESPONSIBILITIES
This job has no supervisory responsibilities.
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily and have an unblemished record of integrity. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
EDUCATION AND EXPERIENCE
Education should include at least a high school diploma with a strong preference for a college degree. Experience should include at least five years in an administrative or executive secretarial role, either of which included substantive responsibilities. Prior experience in regulatory compliance or risk management department of a bank, broker, or other financial institution would be a plus.
SPECIAL SKILLS
To be effective in this position, the Administrator must possess excellent organizational skills, be detail oriented, and be able to complete assigned responsibilities with limited supervision. The Administrator will need strong interpersonal skills, in order to interact with co-workers in the performance of compliance testing. The Administrator will have sight of confidential information and must demonstrate the highest willingness and ability to keep records in the strictest confidence.
LANGUAGE SKILLS
The Administrator must have the ability to read and comprehend instructions, short correspondence, and memos, as well as the ability to write simple correspondence, particularly explanations of findings. The Administrator must be able to speak clearly and concisely.
MATHEMATICAL AND COMPUTER SKILLS
Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. A Basic knowledge of MS Excel, Word and Powerpoint are required and advanced skills in Excel would be a plus.
REASONING ABILITY
Ability to apply common sense understanding to carry out instructions furnished in written, oral or diagram form. Ability to deal with problems involving several concrete variables in standardized situations.
PHYSICAL DEMANDS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
While performing the duties of this job, the employee is regularly required to walk and talk or hear. The employee frequently is required to stand, sit, use hands to finger, handle, or feel and reach with hands and arms. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision and ability to adjust focus.
Repetitive motion of arms, wrists and hands is required in either a sitting or standing position for occasionally extended periods of time. The employee is occasionally required to climb or balance and stoop, kneel, or crouch.
Job Type: Full-time
Expected hours: 37.5 per week
Benefits:
401(k)
Dental insurance
Employee assistance program
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Professional development assistance
Vision insurance
Education:
High school or equivalent (Required)
Experience:
compliance: 5 years (Preferred)
Ability to Commute:
Hockessin, DE 19707 (Required)
Work Location: In person