Job Description

The Compliance team is currently seeking an intern to assist with day-to-day functions revolving around monitoring and complying with regulations set forth by FINRA and the SIPC. This paid opportunity with provide the intern industry experience with securities and will help prepare them for common exams such as the SIE, Series 7 & 24.

 

Job Summary:

Within this position, the Compliance Intern will be given the opportunity to deep dive into learning the responsibilities of a branch office in the securities industry. In this position, the intern will be responsible for assisting with daily support tasks for the Compliance Examiners and Director of Compliance.

Essential Functions and Responsibilities:

• Respond to diverse internal and external inquiries and questions in connection with three primary lines of business performed through the Broker Dealer, RIA, and Insurance Agency
• Collaborate with assigned supervisors and Valmark clients to help identify red flags and conduct training as needed
• Review of Registered Representative (“RR”) incoming and outgoing customer correspondence, email, and social media posts
• Assist with the review and approval of advertising submissions
• Develop an understanding of routine compliance submissions, including outside business activities, requests to open personal brokerage accounts, political contributions and gifts given/received

Related Qualities:

Our ideal candidate has the following qualities:

• Excellent attention to detail
• Process driven
• Organized and thoughtful
• Strong communication skills
• Curious and eager to learn
• Open to constructive feedback
• Optimistic and positive attitude
• Relationship building ability

Requirements:

Must be currently enrolled in college seeking a degree. Degrees such as Criminology, Criminal Justice, Business Administration, Organizational Supervision and Surveillance, Finance, or Risk Management and Insurance are preferred, but not required. Must be available to commit 15-25 hours per week during the spring/fall semesters and 25-40 hours per week during the summer months.

Job Tags

Summer work,

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