To provide administrative support to the respective BGC Head of Compliance.

To provide ad hoc support to the Compliance team when needed in situations such as staff absences, heavy workload etc.

Responsibilities
Key Responsibilities

Administration:

Organise corporate travel where required (through company’s travel office). Liaise with appropriate facilities and support departments re office and technological equipment. Preparing and finalising PowerPoint presentations. Maintain staff lists and contact details for Compliance staff. Maintain the Compliance Department drives. Maintain lists of holiday approvals, sick leave and other absences. Act as the primary user within the Compliance Department of the Document Locator software application.

Training:

Management of Thomas Reuters Policy and Training System ensuring all staff receive notification of their training requirements and tracking completion of training modules. Ensure that all new staff complete appropriate induction training on a timely basis. Book candidates for Approved Persons status on training courses. Distribute policy and procedure documents to BGC staff via email or another appropriate system, log responses and chase where these are not forthcoming.

Policies and Procedures:

Work with the Compliance to update the tools and templates used to comply with policies issued by the Compliance teams.
Provide input into and assist with the drafting of relevant Compliance policies and procedures.

Other:

Collate Management Information packs for Compliance and MLRO submissions to the Management and Executive Committees. Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the BGC group.

Key contacts/working relationships

Work closely with colleagues across BGC Compliance to facilitate the efficient operation of the Compliance function. Liaise with Human Resources, and other relevant departments as required, to ensure Compliance has access to up-to-date staff lists.

Key outputs and key performance indicators

Accurate and timely maintenance of logs and compliance records in support of the core functions listed above. Positive contribution to the Compliance department. Escalation of significant regulatory issues to the appropriate person. Share information as appropriate with other members of the Compliance department and the wider group.

Skills / competencies required:

Compliance experience / knowledge of investment services industry. Experience of working with Senior Management.

Systems used:

Proficient in Microsoft Outlook, Word, Excel & PowerPoint.

Personal attributes:

Good organisational and time management skills. Ability to work autonomously or as part of a team and communicate relevant information in a timely and clear manner. Highly organised. Ability to work under pressure and prioritise. Determined, and capable of working under own initiative.