Registration Compliance Intern

Guggenheim Securities • Madison, NY

8d • $20 • Onsite

About The Position

Guggenheim Securities is seeking an intern to join their Registration Compliance team during the summer. The Compliance department’s 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.

Requirements

• Must be seeking a college degree in business

Nice To Haves

• 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
• Self-starter with excellent organizational and communication skills
• Strong attention to detail

Responsibilities

• Assist with registration and regulatory requirements for the Firm’s Broker-Dealer Associated Persons especially for the summer program including fingerprinting process, Form U4 filings and regulatory examinations notifications
• Coordinate with the Firm’s Compliance and Human Resources Department for the regulatory pre-hire/on-boarding process as well as the off-boarding process
• Moving required documents to our record retention site
• Assist with ad hoc projects for the team

What This Job Offers

• Career Level: Intern
• Education Level: No Education Listed