Registration Compliance Intern
Registration Compliance Intern
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Salary Not Disclosed
1 Vacancy
Job Description
Job Description:
Position Summary
Guggenheim Securities is seeking an intern to join their Registration Compliance team during the summer. The Compliance departments focus is to help ensure that the Firm conducts its business and operations with the highest legal and ethical standards in a manner consistent with its obligations and all applicable laws rules and regulations. This position will be in the New York office.
Essential Job Functions
This individual will assist the compliance team and will have exposure to the registration areas of the compliance program:
- Assist with registration and regulatory requirements for the Firms BrokerDealer Associated Persons especially for the summer program including fingerprinting process Form U4 filings and regulatory examinations notifications.
- Coordinate with the Firms Compliance and Human Resources Department for the regulatory prehire/onboarding process as well as the offboarding process.
- Moving required documents to our record retention site.
- Assist with add hoc projects for the team.
Preferred Qualifications
- MS Word PowerPoint Excel and Outlook proficient
- Able to organize and present data in spreadsheets and tables
- Strong writing and research skills
- Ability to work with various teams in a professional environment
- Selfstarter with excellent organizational and communication skills
- Strong attention to detail
Basic Qualifications
- Must be a rising junior or senior seeking a college degree in business
Work Location
- Currently this role is expected to be in the New York office at least 4 days per week.
Salary
- $20 per hour 40 hours a week
About Us:
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory Financing Sales and Trading and Research. Guggenheim Securities is headquartered in New York with additional offices in Chicago Boston Atlanta San Francisco and Houston.
Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race color religion gender sexual orientation gender identity national origin disability or status as a protected veteran.
For more information please visit GuggenheimSecurities follow us on LinkedIn or contact us at or 212.518.9200.
Required Experience:
Intern
Employment Type
Full-Time
