Compliance Licensing & Reg Intern- Summer 2027

Stifel•Saint Louis, MO

3d•Onsite

About The Position

The Licensing & Registration Compliance Intern prepares and processes securities-related registrations for licensed individuals under minimal supervision. This includes handling requests from broker/dealer subsidiaries and affiliates, jurisdiction applications and terminations, and monitoring for registration violations. The intern works closely with the Compliance team and completes accurate work in a timely manner. The role requires on-site availability during standard working hours, 7:30 a.m. to 4:30 p.m. CST.

Requirements

Be available to work on-site during standard working hours, 7:30 a.m. to 4:30 p.m. CST.
Be pursuing an undergraduate degree, preferably in a related field, with at least one year of college completed.
Demonstrate achievement in academics and participation in extracurricular activities.
Have working knowledge of Microsoft Excel, Word, and Outlook.
Be comfortable using web browser-based data input systems.
Communicate information and ideas effectively in spoken or written form.
Demonstrate professionalism, integrity, maturity, intellectual curiosity, initiative, and good judgment.
Manage time and priorities to meet deadlines.
Use logic and reasoning to assess alternative solutions, conclusions, or approaches to problems.
Possess strong communication, analytical, and interpersonal skills.

Responsibilities

Process Form U4s and make prompt amendments as applicable to the position.
Maintain accurate information in BETA (REGR).
Maintain accurate information on NRF associates, Representatives, and Investment Advisors.
Work to ensure compliance with applicable industry rules and regulations.
Perform administrative duties, including scan filing, preparing spreadsheets and reports, assisting with special projects, and responding to phone calls.
Complete dedicated projects assigned by a supervisor or manager and perform other duties as needed.
Work independently or assist with projects and confidential issues that may be complex, difficult, or broad in scope.
Process securities-related registration requests from broker/dealer subsidiaries and affiliates, jurisdiction applications and terminations, and monitor for registration violations.