What are the responsibilities and job description for the Employee Activities Compliance Intern position at Guggenheim Securities?
Job Description
Guggenheim Securities is seeking an intern to assist the Employee Activities 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.
Essential Job Functions
This individual will assist the compliance team and will have exposure to the below areas of the compliance program:
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.
For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.
Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission.
Guggenheim Securities is seeking an intern to assist the Employee Activities 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.
Essential Job Functions
This individual will assist the compliance team and will have exposure to the below areas of the compliance program:
- Track the progress of onboarding requirements for new hires and follow up as necessary
- Perform testing of internal Compliance procedures related to Employee Activities
- Assist with the processing of employee disclosures and related tasks as needed
- Assist with Ad hoc compliance projects/data reconciliations
- 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
- Must be seeking a college degree in business
- Currently, this role is expected to be in the New York office at least 4 days per week.
- $20 per hour, 40 hours a week
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.
For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.
Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission.
Salary : $20