INTERNSHIP - Compliance COO Team


 New York - United States, United States       Internship        Corporate and Investment Banking

Responsibilities

Day to day responsibilities include but not limited to:

  • Assist in producing the Compliance Monthly Management Report for the Compliance ExCo
  • Assist in producing the Compliance Monthly Report for the US ExCo
  • Assist in producing Compliance Monthly Audit reports for Compliance ExCo, Director of Compliance and for Head Office
  • Assist in preparing, distributing, analyzing responses, and responding to communications for Annual Compliance with MA, BD and Regulation W
  • Assist in preparing, distributing, analyzing responses, and responding to communications for Monthly Compliance with BD disclosures
  • Identity and Access Management administration for Compliance
  • Coordinate Market data access
  • Preparing and revising written procedures for specific business activities in compliance

Other responsibilities include but not limited to:

  • Adhoc presentations for Senior Management;
  • Adhoc projects as required.

All our positions are open to people with disabilities

Profile Required

Competencies:            

  • Strong writing and research skills
  • Must be able to work with various teams in a professional environment
  • Self-starter with excellent organizational and communication skills
  • Strong attention to detail


Technical Skills & Knowledge:


Desired:

  • MS Office Outlook, Word, Powerpoint proficiency
  • Strong Excel skills


Qualifications (Experience, Education, Languages):


Required:

  • Senior in College or recent graduate with Bachelor Degree

Desired:

  • Prior internship or work experience in financial services or legal industry

Business Insight

The SGUS Compliance Department monitors the corporate banking, investment banking and broker–dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management.  Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker–dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations.  The US Financial Crime department is responsible for ensuring compliance with anti-money laundering (“AML”), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations.  Additionally, AML oversees key processes and risks of the KYC department. 


Job code: 19000NZL
Business unit: SG Americas Securities
Starting date: 07/10/2019
Date of publication: 23/08/2019
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INTERNSHIP - Compliance COO Team

Internship   |   New York - United States   |   Corporate and Investment Banking