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Registration Compliance Intern
| Company | Guggenheim |
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| Location | New York, NY, USA |
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| Salary | $20 – $20 |
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| Type | Internship |
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| Degrees | Bachelor’s |
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| Experience Level | Internship |
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Requirements
- Must be a rising junior or senior seeking a college degree in business
- 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 add hoc projects for the team
Preferred Qualifications
No preferred qualifications provided.
