Executive Assistant and Compliance Regulatory Analyst

Janney Montgomery Scott LLC • Philadelphia, PA

1d

About The Position

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.
The Executive Assistant and Compliance Regulatory Analyst will provide a wide range of administrative support to the General Counsel and the Legal & Compliance team. This individual will be responsible for administrative duties, special projects and the coordination of regulatory inquiries and examinations for the department. This role will require a strong candidate who is capable of applying efficient time-management, demonstrates a high level of professionalism and be comfortable interacting with employees at all levels of the organization and external regulators and attorneys.
What you are good at:
Communication: Excellent communication skills to convey insights to both technical and non-technical stakeholders.
Building Relationships: Interpersonal and networking skills that fosters trust and create collaborative relationships.
Time Management: managing multiple priorities, working effectively with key stakeholders across the firm.

Requirements

• 5+ years of administrative experience preferred.
• Experience in financial services a plus.
• Prior work experience in a fast paced environment; ability to work under pressure and meet deadlines.
• Excellent interpersonal relationship skills, written and verbal communication skills and client service skills.
• Self-motivated, self-starter and a strong team player with impeccable follow through with little supervision.
• Highly professional in performing all duties.
• Highly ethical and able to respect confidentiality; trustworthy with the ability to handle confidential information with discretion.
• Proficient in Microsoft Office Suite.
• Quick learner with an aptitude for policies, procedures, and new technologies.
• Detail-oriented and highly organized.
• Extremely professional, mature and reliable.

Responsibilities

• Organize and coordinate schedules for meetings, conferences and special events.
• Gather information from various team members and compile monthly and quarterly reports for the General Counsel.
• Coordinate travel arrangements.
• Plan events and prepare executives with appropriate materials and agendas.
• Assist in the preparation of documents, spreadsheets, presentations, and maintenance of databases.
• Serve as the point person for coordinating incoming regulatory inquiries from a variety of mediums; monitor and assign inquiries appropriately across the team and catalogue and maintain activity status.
• Track and maintain responses to State and SRO inquiries/letters; ensure inquiries are on-time and updated.
• Provide on-site professional support and logistical coordination to external regulators and attorneys.
• Provide general office support to include telephone coverage for the department; supply ordering; mail distribution; filing; file room maintenance, and additional duties, as needed.
• Assist with expense management and reimbursements.
• Organize Compliance files and manage departmental databases.
• Assist with periodic event planning, including coordinating schedules, technology for presentations, and catering.

Benefits

• Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere.
• We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.
• Explore further.
• Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.
• Fostering a positive workplace experience remains a top priority. We’ve earned the Great Place to Work® certification, which recognizes employers that create an outstanding employee experience. Based entirely on what current employees say about their experience working at Janney, this prestigious recognition underscores our commitment to our people and culture.
• People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.
• Janney is an equal opportunity employer and makes employment decisions on the basis of merit and business needs.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed