Regulatory Compliance Co - Op
Loading... Sign In Career Opportunities: Regulatory Compliance Co-op (21734) Job Number 21734 - Posted 05/02/2020 - Legal & Compliance - United States - Boston - Internship Apply Save Job Email Job to Friend Return to List
In this dynamic role, you would gain exposure and contribute to the team efforts of the Sales Material Review Team and the Sales Practice Team within the Legal and Compliance Department. Amundi Pioneer operates in a highly regulated industry and is governed by a complex body of federal, state, and international laws, rules, and regulations. These rules are in place to provide protections to customers, but in the process, we protect Amundi Pioneers marketplace reputation as well. One of our highest goals is to ensure we meet our legal and regulatory obligations. We do this through various means, but within this role, the focus is more specifically related to sales material review and sale practice compliance.
For the Sales Material Review Team:
- Perform post-review of sales materials to ensure Compliance edits have been addressed.
- Assist with the submission of public sales materials to FINRA.
- Generate daily and weekly status reports for the Sales Review team and Marketing department, respectively.
- Process vendor invoices and maintain corresponding spreadsheet to identify missing payments/outliers.
- Monitor the group inbox in Outlook.
- Working closely with the group to identify additional functionality required to improve the overall process.
For the Sales Practice Team:
- Performing crosschecks between Human Resources and Compliance to ensure employee data is consistent from a regulatory perspective.
- Reviewing expense reports and identify potential issues from a FINRA non-cash compensation perspective.
- Reviewing check requests to ensure they are properly record-kept and tracked.
- Perform quarterly crosschecks for political contributions/pay-to-play to ensure they are in accordance with regulatory standards.
- Perform monthly monitoring of social media accounts (LinkedIn, Facebook, and Twitter).
- Review and follow-up with firms employees regarding Professional Designations.
- Coordinate with Sales and Marketing Departments regarding monthly correspondence logs.
Ad Hoc Requests:
- You will also manage special compliance projects and/or provide analytic support for other firm-wide compliance initiatives from time to time.
- Microsoft Office Suite (Outlook, Word, Excel, Access and PowerPoint) and Adobe Acrobat.
- Any database experience is helpful, but not required.
- The candidate should be self-confident, energetic, and inquisitive and possess superior organizational skills. Must be a self-starter who is able to quickly learn and organize his or her workload to meet strict deadlines. Must possess excellent time-management skills and be able to communicate and work effectively with others
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