Registration Compliance Intern at Guggenheim… · New York

Summary: Guggenheim Securities is seeking an intern to join their Registration Compliance team during the summer. The role involves assisting the compliance team with registration and regulatory requirements, as well as coordinating with various departments for the regulatory pre-hire and off-boarding processes. 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 Required Qualifications: - Must be seeking a college degree in business Preferred Qualifications: - 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 Required Skills: MS Office proficiency Important Skills: Data organization, Research skills