Compliance Intern – New York
📋 Role Overview & Responsibilities
Job Description
Position Summary
Guggenheim Securities is seeking an intern to join their 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 supporting various areas of the Compliance department and will be in the New York office.
Essential Job Functions
This individual will assist the compliance team on a rotating basis and will have exposure to the following areas of the compliance program:
Registration process for associated personsMonitoring of the Firm’s information barriersAssist the Control Room with various tasks related to conflict checks and control room logsTest business processes in the Equities, Fixed Income and Research departments as neededTrack the progress of onboarding requirements for new hires and follow up as necessaryPerform testing of internal Compliance proceduresAssist with the processing of employee disclosures and related tasks as neededAd hoc compliance projects
Preferred Qualifications
Strong writing and research skillsAbility to work with various teams in a professional environmentSelf-starter with excellent organizational and communication skillsStrong attention to detail MS Word, PowerPoint, Excel and Outlook proficientAble to organize and present data in spreadsheets and tables
Basic Qualifications
Must be seeking a college degree in business
Salary
$25 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.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.
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This position is located in New York, NY with potential relocation and sponsorship assistance depending on candidate qualifications.
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