We are seeking a talented, highly motivated undergraduate student who has demonstrated intellectual curiosity and an interest in financial services. You will be exposed to many different areas of the firm since our department partners with all the business units of the firm. As the Legal and Compliance Intern, your training and contribution may include, but not be limited, to the following areas:
Advisory Legal Services
You will work with one of our team members and gain knowledge of the firm’s regulatory filings, committee governance, information barriers, and various conflicts issues that may arise. Your creative skills may be used to assist with creating training materials related to emerging regulatory issues.
Global Surveillance and Regulatory Reporting
Your analytical skills may be used as you help conduct surveillance monitoring for compliance with policies and procedures related to our firm’s asset management business, including portfolio management activities, trading practices, information barrios, etc.
Global Marketing Compliance Practices
You will be introduced to the marketing and sales practice requirements for the distribution of various investment products in the U.S. and internationally. You will also have extensive interactions with marketing/product/sales groups to facilitate the review of marketing materials and to support related compliance projects. In this role you will gain hands-on experience into understanding a range of investment products and the regulations that govern them.
Your contributions during your internship will be done in collaboration with our team members. We will invest the time to ensure you have the required knowledge to execute on your responsibilities. You will also need to demonstrate agility in handling a variety of other matters as they arise.
About the Department
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm’s culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that detect, address and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm’s business strategy and objectives while maintaining a high standard for integrity.
About the Team
The Compliance team covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives.
May or June 2023 bachelor’s degree candidate
Student in good standing with a cumulative GPA of 3.0 or better
Able to work in the US without visa sponsorship (now or in the future)
Strong knowledge of Microsoft Office Suite, specifically Word and Excel
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