Job Description

The Compliance Department is seeking an intern to fill a part-time 3-day a week position to help the company ensure that employees abide by regulatory guidelines and top management’s directives policies when performing their tasks. The Intern also ensures that staffs conform to industry practices and professional standards in activities in which they engage. The Compliance Intern also ensures that legal elements in corporate transactions adhere to regulatory guidelines. These elements may be permits, securities portfolios and marketing materials.

Job Responsibilities

• Plan and execute tools such as Salesforce, Compliance ELF, and RegEd
• Analyze and assess complex finance documents and applications against risk and compliance frameworks
• Help support the team in preparing and the organizing data which will appear on regulatory filings
• Complete administrative tasks (filing, photocopy, scanning, organizing documents etc.) relating to Compliance documents
• Organize and summarize documents relating to entity organization and fund structure
• Prepare letters in compliance with Registered Investment Advisory (Code of Ethics) requirements and process litigation searches

Qualifications

• Completion of Second or Third-Year Collegiate Courses towards bachelor’s degree
• Excellent written and oral communication and presentation skills. 
• Excellent attention to detail including exceptional grammar and proofreading skills
• Exhibit a pro-active approach to all tasks regardless of significance
• Highly organized and an ability to balance multiple, changing priorities in a dynamic and fast-moving working environment
• Ability to work collaboratively within a complex organization, across multiple teams.
• Familiarity with federal regulations affecting Registered Investment Advisors. 
• Advanced Microsoft Office Suite (Word, Excel, Outlook and PowerPoint) skills required
• Candidates with a strong interest in Compliance or law strongly preferred

Additional Information

A COVER LETTER IS REQUIRED TO BE CONSIDERED FOR THIS POSITION.

Applications are strongly encouraged from candidates reflecting diverse educational, cultural and experiential backgrounds.