U.S. Compliance Co Op
Core
Support the Legal, Compliance & Risk Department in regulatory research, policy gap analysis, and compliance program assessments for a global investment management firm.
Role type
Compliance Co-op (Legal/Financial Services)
Builds
Compliance policies, procedures, and regulatory assessments
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory research, Gap analysis, Compliance risk assessment, Client due diligence, Record retention, Microsoft Excel, Microsoft Word, Microsoft PowerPoint
Preferred skills
Legal or financial services focus, Prior co-op experience
Responsibilities
Assist with Material Non-Public Information (MNPI) controls, Conduct regulatory rule change research, Perform broker dealer compliance support, Execute compliance risk assessments, Manage record retention protocols
Seniority
Co-op / Student