Job Summary: We are seeking a motivated and detail-oriented Compliance Analyst Intern to join our broker-dealer firm. As a Compliance Analyst Intern, you will assist our compliance team in various aspects of regulatory compliance specific to the broker-dealer industry. This internship will provide you with valuable hands-on experience in compliance operations within a fast-paced and dynamic financial services environment.
Primary Responsibilities: The TradeUP/USTiger Securities intern will:
• Conduct research on securities laws, regulations, and industry best practices to ensure compliance with applicable requirements for a broker-dealer.
• Assist in reviewing and updating compliance policies, procedures, and internal controls to identify potential gaps and ensure adherence to regulatory obligations.
• Assist in the review, development, and maintenance of the trade surveillance monitoring system.
• Support the compliance team in conducting periodic compliance audits and assessments to evaluate the effectiveness of compliance programs and identify areas for improvement.
• Collaborate with cross-functional teams, such as operations, risk management, and legal, to identify and mitigate compliance risks associated with new products, services, or initiatives.
• Assist in the preparation of regulatory filings, reports, and disclosures required by regulatory authorities.
• Support the compliance team in responding to inquiries, investigations, and requests from regulatory agencies and self-regulatory organizations.
• Assist in maintaining accurate and organized compliance records, documentation, and reports.
• Provide general administrative support to the compliance team, such as scheduling meetings, organizing files, and coordinating internal communications.
Qualifications:
• Currently pursuing or obtained a bachelor's or master's degree in finance, business administration, law, or a related field.
• Strong interest in the securities industry and regulatory compliance, with a desire to learn and develop skills in broker-dealer compliance.
• Solid research and analytical skills to gather, interpret, and summarize complex regulatory information.
• Attention to detail and a commitment to accuracy in all compliance-related tasks.
• Excellent written and verbal communication skills, with the ability to effectively communicate complex information.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook).
• Ability to work independently as well as collaboratively within a team environment.
• Strong organizational and time management skills, with the ability to prioritize tasks effectively.
• Highly motivated self-starter able to work independently while collaborating and coordinating as part of a global program.
• Familiarity with securities laws and regulations (e.g., Securities Exchange Act of 1934, FINRA rules) is a plus.
• Previous internship experience in broker-dealer compliance or a related field is desirable but not required.
Location: New York, NY
Job Type: Internship
Pay: Up to $3,000.00 per month
Schedule:
• 8 hour shift
Experience:
• Surveillance: 1 year (Preferred)
• Customer service: 1 year (Preferred)
• Computer skills: 1 year (Preferred)
License/Certification:
• Driver's License (Preferred)
Shift availability:
• Day Shift (Preferred)
Ability to Commute:
• New York, NY 10022 (Required)
Ability to Relocate:
• New York, NY 10022: Relocate before starting work (Required)
Work Location: In person
Location: New York, NY
Posted: Sept. 6, 2024, 10:22 a.m.
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