Compliance Intern – Surveillance
Commonwealth Financial Network 9 reviews - Waltham, MA

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The Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.

As a compliance intern for the Surveillance team, your responsibilities would include:

Providing ongoing administrative support to the Surveillance team

Processing high-volume data entry items

Preparing and maintaining Compliance reports

Assisting in the tracking and analysis of regulatory reporting requirements

Assisting with the management and retention of confidential documentation

Working on various projects in support of the Surveillance team

Communicating with other Compliance teams, firm departments, and branch office personnel

The ideal candidate would also meet the following requirements:

Working knowledge of Microsoft Office basics (e.g., Word, Excel, Access)

Strong attention to detail

Highly motivated

Growth oriented, both personally and professionally

Ability to work within both group and autonomous settings

Interest in developing a career within the securities industry

Deadline driven

A positive attitude

Effective communication skills, both written and oral

Quick learner

Comfortable in a fast-paced, dynamic environment

Waltham, MA position

About this company
9 reviews
If it were up to Commonwealth Equity Services we'd all have wealth in common. Operating as Commonwealth Financial Network, the...