Compliance Records Intern - Regulatory & Audit Prep
Wheaton
A financial advisory firm in New York is seeking a reliable intern to support their Compliance team. The internship offers hands-on experience in managing regulatory and operational records within a dual-registered firm environment. Students will assist in filing and organizing compliance documentation, maintain document retention policies, and ensure proper storage of records. Candidates should have strong organizational skills, attention to detail, and basic Microsoft Office proficiency. This role provides exposure to the SEC and FINRA regulatory settings. #J-18808-Ljbffr
Vacancy posted 3 days ago
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