The Compliance team is currently seeking an intern to assist with day-to-day functions revolving around monitoring and complying with regulations set forth by FINRA and the SIPC. This paid opportunity with provide the intern industry experience with securities and will help prepare them for common exams such as the SIE, Series 7 & 24.
Job Summary:
Within this position, the Compliance Intern will be given the opportunity to deep dive into learning the responsibilities of a branch office in the securities industry. In this position, the intern will be responsible for assisting with daily support tasks for the Compliance Examiners and Director of Compliance.
Essential Functions and Responsibilities:
Related Qualities:
Our ideal candidate has the following qualities:
Requirements:
Must be currently enrolled in college seeking a degree. Degrees such as Criminology, Criminal Justice, Business Administration, Organizational Supervision and Surveillance, Finance, or Risk Management and Insurance are preferred, but not required. Must be available to commit 15-25 hours per week during the spring/fall semesters and 25-40 hours per week during the summer months.