U.S. Compliance Co Op
About The Position
The Compliance Co-op(s), working in collaboration with compliance professionals, attorneys, analysts, and administrative staff of the Legal, Compliance & Risk Department, will contribute to both ongoing initiatives and new short-term projects focused on regulatory developments, assessing the firm’s compliance programs and implementing enhancements (e.g., to policies, procedures, practices) and exam management. As part of a group of legal and compliance professionals, the Co-op(s) will work with a variety of other internal and external professionals, including Global Relationship Management, Trading, Operations, and Investment Administration in researching regulatory requirements.
Requirements
- Working in this role requires a high degree of organizational and problem-solving skills given the project nature of the role.
- The individual must be self-motivated and detail-oriented, with an ability to prioritize ongoing and time sensitive goals.
- A successful candidate for this role will possess a high degree of professionalism and have enthusiasm, an eagerness to learn, interest in financial markets, and a sense of humor.
- Strong academic credentials are required.
- Candidates should be proficient in Microsoft Excel, Word, and PowerPoint and possess excellent written and verbal communication skills.
- This co-op position entails cross-training to ensure optimal performance across functions.
- Candidates must have prior co-op experience, as this position requires a foundational understanding of professional workplace dynamics and responsibilities.
- Only Northeastern University students are eligible for this program.
Nice To Haves
- A legal or financial services focus is preferred.
Responsibilities
- Client Due Diligence Responsibilities
- Assist with Material Non-Public Information Controls (MNPI)
- Gap Analysis of Compliance Policies
- Compliance Risk Assessments
- Regulatory Research
- Regulatory Rule Change Research
- Record Retention
- Broker Dealer Compliance Support
Benefits
- retirement plan
- health and wellbeing
- dental
- vision
- pharmacy coverage
- health savings account
- flexible spending accounts
- commuter program
- employee assistance program
- life and disability insurance
- adoption assistance
- back-up childcare
- tuition/CFA reimbursement
- paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)
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What This Job Offers
Job Type
Full-time
Career Level
Intern
Education Level
No Education Listed
