Compliance Licensing & Reg Intern- Summer 2027

Stifel•St. Louis, MO

5d•Onsite

About The Position

The Compliance Licensing & Registration Intern prepares and processes securities-related registrations for licensed individuals under minimal supervision. The work includes handling requests from broker/dealer subsidiaries and affiliates, jurisdiction applications and terminations, and monitoring for registration violations. The intern also supports compliance operations through data maintenance, administrative work, assigned projects, and collaboration with the Compliance team.

Requirements

Must be available on-site during standard working hours, 7:30 a.m. to 4:30 p.m. CST.
Pursuing an undergraduate degree, with at least one year of college completed.
Demonstrated track record of academic achievement and participation in extracurricular activities.
Working knowledge of Microsoft Excel, Word, and Outlook.
Comfortable using web browser-based data input systems.
Ability to communicate information and ideas clearly in spoken or written form.
Professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment.
Strong communication, analytical, and interpersonal skills.
Ability to manage time and priorities, meet deadlines, and use logic and reasoning to evaluate solutions and make decisions.

Nice To Haves

Undergraduate degree in a related field is preferred.

Responsibilities

Process Form U4 filings and promptly make amendments as applicable to the position.
Maintain accurate information in BETA (REGR) and for NRF associates, representatives, and investment advisers.
Help ensure compliance with applicable industry rules and regulations.
Perform administrative duties, including scanning and filing, preparing spreadsheets and reports, assisting with special projects, and responding to phone calls.
Complete dedicated projects assigned by a supervisor or manager and other duties as needed.
Work independently or assist with assigned projects and confidential issues that may be complex, difficult, or broad in scope.
Prepare and process securities-related registrations, including requests from broker/dealer subsidiaries and affiliates, jurisdiction applications and terminations, and monitoring for registration violations.
Work closely with the Compliance team and complete accurate work in a timely manner while managing priorities and deadlines.