Compliance Intern

Job Description

Position Summary

Guggenheim Securities is seeking an intern to join their 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 supporting the Employee Activities Group and Control Room within the Compliance department and will be in the New York office.

Essential Job Functions

This individual will assist the compliance team on a rotating basis and will have exposure to the following areas of the

Compliance Program

• Monitoring of the Firm’s information barriers
• Assist the Control Room with various tasks including conflict checks, maintaining logs and deal records, and producing metrics for Compliance Management.
• Track the progress of onboarding requirements for new hires and follow up as necessary
• Perform testing of internal Compliance procedures related to the Control Room and Employee Activities
• Assist with the processing of employee disclosures and related tasks as needed
• Assist with Ad hoc compliance projects
  
  

Preferred Qualifications

• 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
• MS Word, PowerPoint, Excel and Outlook proficient
• Able to organize and present data in spreadsheets and tables
  
  

Basic Qualifications

• Must be a rising junior or senior seeking a college degree in business
  
  

Work Location

• Currently, this role is expected to be in the ­­­­New York office at least 4 days per week.
  
  

Salary

• $20 per hour, 40 hours a week
  
  

About Us

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.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.