Registration Compliance Intern
About The Position
Guggenheim Securities is seeking an intern to join their Registration 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. 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 [email protected] 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 the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. We offer services in Advisory, Financing, Sales and Trading, and Research. Discover what it is like to work with us through the stories of our colleagues. We are headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, Houston, and in London, UK. For more information, please email GS IB Campus Recruiting or call +1 212.518.9200
Requirements
- Must be seeking a college degree in business
Nice To Haves
- 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
Responsibilities
- Assist with registration and regulatory requirements for the Firm’s Broker-Dealer Associated Persons especially for the summer program including fingerprinting process, Form U4 filings and regulatory examinations notifications
- Coordinate with the Firm’s Compliance and Human Resources Department for the regulatory pre-hire/on-boarding process as well as the off-boarding process
- Moving required documents to our record retention site
- Assist with ad hoc projects for the team
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What This Job Offers
Career Level
Intern
Education Level
No Education Listed
