2022 Summer Internship Development Program - Compliance Intern
Department Description:
Raymond James Compliance ensures adherence to all rules, regulations, policies and standards that govern the firm and the securities industry. Positions in Compliance cover a wide range of roles such as auditing and educating branches, anti-money laundering review, responding to complaint and regulatory inquiries, establishing and monitoring control mechanisms, and registering firm representatives.
Job Summary:
Under general supervision, uses skills gained through training and experience to assist with specific projects within an assigned functional area for a specified period of time. Follows established procedures to perform tasks and receives general guidance and direction to perform other work with substantial variety and varied complexity. Some judgment is required to adapt procedures, processes and techniques to apply to more complex assignments. Resolves routine questions and problems and refers more complex issues to a higher level. Routine contact with internal and external customers may be required to exchange basic information.
Essential Duties and Responsibilities:
- Specified projects and varied assignments.
- Operates standard office equipment and uses required software applications.
- Performs other duties and responsibilities as assigned.
- Provides support and guidance for compliance efforts in assigned business entity
- Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes
- Assists in researching compliance issues
- Making rule-based and analytical decisions
Qualifications - External
Knowledge, Skills, and Abilities:
Knowledge of:
- Fundamental concepts, practices and procedures of a professional office environment.
- Basic concepts, principles and practices of an assigned business unit.
Skill in:
- Operating standard office equipment's and using, or have the ability to learn, required software applications.
- Microsoft Excel
Ability to:
- Organize and prioritize multiple tasks and meet deadlines.
- Communicate effectively, both orally and in writing.
- Work independently as well as collaboratively within a team environment.
- Provide a high level of customer service.
- Establish and maintain effective working relationships
Educational/Previous Experience Requirements:
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
- Currently pursuing a four year degree at an accredited university.
- Rising Sophomore, Junior, or Senior preferred.
- Open to Finance, Accounting, Economics, Business, or any other related College of Business major.
Licenses/Certifications:
None Required.