Registration Compliance Intern

Job Description:

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.

Essential Job Functions

This individual will assist the compliance team and will have exposure to the registration areas of the compliance program:

• 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

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

Basic Qualifications

• Must be 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.

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