Regulatory Records Intern - Finance (SEC/FINRA Exposure)
Wayne State University
A financial services firm located in New York seeks an intern to assist their Compliance team. This role involves organizing and filing regulatory records to ensure compliance with SEC and FINRA standards. Ideal candidates will have strong attention to detail, proficiency in Microsoft Office, and an interest in financial compliance. Interns will gain valuable exposure to operational aspects and contribute to document management within a professional financial environment. #J-18808-Ljbffr Wayne State University
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Regulatory Records Intern - Finance (SEC/FINRA Exposure) in Florida, NY vacancy
- ...Adviser (RIA) and a FINRA-member Broker-... ...a strong focus on regulatory compliance and operational... ...and reliable intern to support our... ...regulatory and operational records. This internship... ...accordance with SEC, FINRA, and... ...What You Will Gain Exposure to SEC and FINRA regulatory...InternshipRegulatoryWork at office
- Republic Finance, LLC is seeking a Junior or Senior college student for an on-site Branch Operations Internship. You will learn day-to... ...projects across departments. The program offers hands-on experience, exposure to the Republic Way, and a path to full-time opportunities upon...InternshipFull time
- ...leading producer of phosphates and potash, seeks an Accounting & Finance Co‑Op/Intern for Summer 2027 at the FishHawk Lithia site. You will rotate... ...offers real-world accounting experience, competitive pay, and exposure to a global leader. #J-18808-Ljbffr The Mosaic CompanyInternshipSummer work
$15 per hour
...seeking an Internship with a Finance or Business focus ? If so, then... ...Republic Finance is seeking Interns for our Branch Operations... ...loan process and all necessary regulatory training. Assist in daily production... ...intern’s employment) to gain exposure to the larger Branch...InternshipRegulatoryHourly payFull time- ...engineering side. There is no finance framework in place. This... ...revenue climb. Putting internal controls, approval hierarchies... ...company assets and reduce exposure. Mapping and rolling out... ..., investor diligence and regulatory review. Setting records retention and document management...RegulatoryPermanent employmentContract workImmediate start
EVONA
Florida, NY3 days ago - ...Inc. is seeking an experienced regulatory reporting professional to... ...customer reserve calculations under SEC Rule 15c3-3 and related... ...entries, FOCUS reporting, and internal/external audits, collaborating across IT, Operations, and Finance to ensure accurate, timely reporting...Regulatory
$25 - $30 per hour
...counterparty information observing internal policies, regulatory expectations, and risk-... ..., accurate customer records, and clear audit-ready documentation... ...Bachelor's degree in Finance, Business, Economics,... ...or equivalent experience) Exposure to commodities/energy markets...InternshipRegulatoryContract workWork at office- ...offering an internship in its Fiscal Department. Interns will assist with essential duties such as preparing... ...for individuals pursuing a degree in Accounting, Finance, or Economics, and aims to provide valuable exposure to practical financial scenarios. The role emphasizes...Internship
- ...Casino Hollywood is seeking Fall 2026 food & beverage interns to gain a meaningful educational experience in a... ...Employee program, while adhering to safety, sanitation and regulatory standards. This internship offers exposure to a dynamic casino resort, with opportunities to...InternshipRegulatoryContract work
$200k
...poster from Selby Jennings Department: Finance Location: Miami, FL (Hybrid Work Model)... ...ensure adherence to fund documentation and internal policies. Support valuation processes... ...experience preferred). Familiarity with regulatory reporting under the Investment Company Act...RegulatorySelby Jennings
Florida, NY3 days ago- ## Accounting & Finance Co-Op/Intern - Summer 2027Candidatar-seremote type: Hybrid Workinglocations: US - Tampa, FL (Lithia area)time type: Periodo... ...* Physical work environment is occasionally outdoors with exposure to varying degrees of hot and cold environmentsThe physical...InternshipFull timeFor contractorsSummer workWork at office
The Mosaic Company
Florida, NY4 days ago - The Global Director Finance Shared Services leads, modernizes... ...and maintaining strong internal controls, this leader will... ...across diverse international regulatory frameworks (i.e., cross-... ...environment. Private Equity Exposure: Proven track record working within a PE-backed...Regulatory
- ...Details Senior Accountant - Finance & Business Operations Location... ...and cutoff - and keep expense records accurate and complete.... ...end audit and any carrier or regulatory examination. Assist with commission... ...warranty, or financial services exposure - particularly premium,...RegulatoryWork at officeImmediate startRemote work
- ...counselors and coordinating master’s-level interns in social work and mental health... ...based practices, community resources, and regulatory requirements. Participate in team meetings... ...environments. Familiarity with electronic health records and outcome measurement tools....InternshipRegulatory
- ...receive an alert: Asset-Level Financing- Strategy and Forecasting... ...and implement improvements to internal processes to enhance the team... ...maintains and reviews financial records Reviews and monitors... ...Ensures compliance with all regulatory requirements for transactions...RegulatoryFull timeContract workFor contractorsLocal areaRelocationShift work
- Pall Corporation seeks a dedicated Quality Assurance Batch Record Coordinator to coordinate, review, and archive production batch documentation, ensuring GDP and regulatory compliance. The role supports manufacturing, inspection readiness, and product traceability within...Regulatory
- ...confidential, and non-judgmental environment. INTERN ACCEPTED Key Responsibilities Provide... ...by state licensure boards and regulatory organizations. Foster a therapeutic, empathetic... ...Proficiency in using Electronic Health Record (EHR) systems and Microsoft Office Suite...InternshipRegulatoryPrivate practiceWork at office
- ...Dynamics Ordnance and Tactical Systems, based in St. Petersburg, FL, seeks a Director of Finance to lead multiple financial functions and ensure robust internal controls and regulatory compliance. The role reports to senior leadership and oversees performance across...Regulatory
- ...extraordinary dogs with those in need.Our Finance and Human Resources team seeks an... ...acknowledgment of tribute gifts.Create new donor records and update existing records as needed.... ...lifting of up to 25 pounds.Occasional exposure to outdoor weather conditions as job duties...Work at officeMonday to Friday
- ...levels of care. Document timely clinical records on all patients including screening/... ...Interdisciplinary collaboration Accountability and regulatory compliance Adaptability and critical... ...setting and automobile. Potential exposure to infections, communicable diseases, odors...InternshipRegulatoryDaily paidFull timePart timeLocal area
Gentiva Health Services, Inc.
Florida, NY1 day ago - ...treatment updates, and required clinical records while maintaining compliance with HIPAA... ...organizational policies, and applicable regulatory guidelines. Collaborative Care Coordination... ...Registered Mental Health Counselor Intern (RMHCI) registration with the Florida Board...InternshipRegulatoryTemporary workLocal area
$80k - $100k
A leading talent acquisition firm is seeking an SEC Analyst fluent in English and Spanish to support the financial reporting and regulatory compliance of a well-established bank. The ideal candidate has over 2 years of experience in SEC reporting and a strong understanding...RegulatoryFull time$200k - $280k
...management and treasury, to embedded finance at a global scale. Proudly... .... This role is focused on regulatory matters in the Americas as... ...financial institutions, ideally with exposure to payments, e-money, FX,... ...oriented, with a clear track record of managing multiple...RegulatoryPrivate practiceLocal areaWorldwideAirwallex
Florida, NY20 hours ago- ...healthcare consulting firm located in New York is seeking a Director of Finance to oversee financial operations and drive strategic planning. You will lead a high-performing finance team, ensure regulatory compliance, and collaborate across functions to align financial...Regulatory
- ...Product leader to drive end-to-end product strategy for TD Auto Finance offerings in the US. The role focuses on growth, profitability... ..., and portfolio direction while managing budgets, P&L, and regulatory considerations. The position emphasizes stakeholder management...Regulatory
- ...Coordinate pre‑employment drug testing, regulatory acknowledgments, and badge clearance for... ...compliance with FAA/DOT requirements. Verify internal candidate eligibility before any offer... ...above you. Maintain compliance tracking records — I-9 re‑verifications, training...InternshipRegulatoryPermanent employmentWork at officeLocal areaImmediate startAfternoon shift
Chromalloy
Florida, NY3 days ago $105.01k - $195.32k
...pharmacy technician technician, resident, and intern practice, prioritizes and organizes... ...Ability to keep accurate and complete records [Required] Ability to teach, precept, and... ...hospital pharmacy operations and regulatory compliance [Required] Proficiency with...InternshipRegulatoryFull timeWork experience placementWork at officeLocal areaShift work- ...development.* Commitment to quality, safety, and regulatory compliance.**Preferred*** Experience... ...assigned mentor and a cohort of fellow interns* A clear path to full-time: many interns... ...once became our Virtual Reality leader* Exposure across disciplines and offices at a 100+...InternshipRegulatoryFull timeContract workFor subcontractorWork at officeLocal areaRemote workFlexible hours
$80k - $100k
...seeking a meticulous and adaptable SEC Analyst fluent in English and... ...the financial reporting and regulatory compliance operations of a... ...collaboratively across finance, legal, and audit teams to ensure... ...documenting and maintaining internal controls and procedures related...RegulatoryFull timeBank staff- ...application process. Director of Finance Full Time Palm Beach Gardens,... .... Establish and audit all internal financial controls, including... ...keys, and associates time records. Communicate both verbally and... ...or complaints from customers, regulatory agencies or members of the business...RegulatoryFull timeWork at office
Pgaresort
Florida, NY3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Regulatory Records Intern - Finance (SEC/FINRA Exposure). Be the first to apply!
Related searches
- food regulatory Florida, NY
- regulatory engineer Florida, NY
- regulatory accountant Florida, NY
- regulatory Florida, NY
- regulatory technician Florida, NY
- clinical research regulatory Florida, NY
- regulatory coordinator Florida, NY
- regulatory law Florida, NY
- regulatory executive Florida, NY
- regulatory scientist Florida, NY