Intern, Compliance Job Description
Intern, compliance
provides ongoing support to Branch Managers and Product Managers to ensure compliance with applicable policies and regulations, particularly FINRA / SEC communications rules.
Intern, Compliance Duties & Responsibilities
To write an effective intern, compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included intern, compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Successfully complete scheduled training regarding basic importing, exporting, and compliance topics
Assist Customs &Trade Governance, Master Data with any necessary projects
Assist Customs & Trade Governance, Development with relevant projects and research
Assist Customs & Trade Governance, Compliance Control with related post entry audits, export audits, and related projects
Maintaining OpenPages (internal tool used to document controls and issues)
Updating IT-related policies and procedures
Maintaining various trackers and ensuring they are up-to-date
Develop and update presentations used for various IT Governance meetings
Record pertinent notes during IT Governance meetings and distribute minutes to attendees in a timely manner
Maintaining the CISO internal sites and shared mailboxes
Intern, Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Intern, Compliance
List any licenses or certifications required by the position: NAFTA, MSA, SBD, UTC, ISO, LMS, CFA, CISA, TPI, SYSTEMS
Education for Intern, Compliance
Typically a job would require a certain level of education.
Employers hiring for the intern, compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Finance, Accounting, Law, Business/Administration, Management, Engineering, Graduate, Economics, Education
Skills for Intern, Compliance
Desired skills for intern, compliance include:
MS Word
Windows
FINRA and SEC rules as they apply to a broker-dealer
Regulations and Internal Controls applicable to your position
Another language would be an asset
French
German
Any PGCB rules
Current industry trends
Familiarity with mobile development
Desired experience for intern, compliance includes:
Applicants should be proficient in Microsoft Office Applications (Excel, Access, Word, and PowerPoint)
Review management's control narratives, application inventory and testing documentation of IT SOX controls for in-scope IT locations globally
Assist in coordination of various training sessions on SOX control narratives and testing
Assist with responding to IT/IS compliance requests from agencies, clients, and vendors
Assist in drafting and distributing emails to global, regional, and agency IT leads
Business Information System degree – with software skills being very strong
Intern, Compliance Examples
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Intern, Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for an intern, compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for intern, compliance
- Provide coordination, research, and project management support for compliance owners projects
- Policy research and drafting for certain policies
- Research assistance on Software-as-a service system suitable for Compliance and Ethics documentation
- Research on Employee Handbook best practices and development of plan to improve existing handbook
- Troubleshooting helpdesk for compliance training
- Ensure Conflicts of Interest language consistent across divisions
- Create program documentation
- Maintains document files
- Creates and maintains spreadsheets, documents and reports
- Approximately 10-20% travel will be required during the summer, based on the Compliance testing schedule
Qualifications for intern, compliance
- Qualified students must be skilled writers and be able to think critically
- Currently in school pursuing a degree in Information Security and or Law (preferred)
- Highlight any exceptions, resolve and document results
- Assist in the creation and monitoring of reports and metrics for AML tracking purposes for on-going monitoring new products
- Microsoft Office Word and Excel skills preferred
- Ability to read and/or write Spanish or Portuguese
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Intern, Compliance Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of intern, compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for intern, compliance
- Identify weaknesses in DG Programs and provide suggestions for improvement of training programs
- Contribute in the data evaluation process for input into the FAA Quarterly Reports
- Interface with FAA
- Online verification of computer based training assigned as corrective actions for Company and FAR violations
- Participate in AA Safety Management System (SMS) Data Analysis Groups
- Will have exposure to other AA Operations groups to analyze weaknesses and develop suggestions to improve procedures
- Support and assist in AA Hazmat incident investigations
- Learn how to work as a team member in an office environment
- Prepare presentations for the AA Dangerous Goods Compliance team
- Brief relevant safety trends and aggregate data at SMS meetings
Qualifications for intern, compliance
- Full-time student, If you are an undergraduate student you have completed your freshman year of college
- Have a minimum of a B average (cumulative 3.0 on 4.0 scale)
- Knowledge of Microsoft Access (or willingness to learn) is preferred
- Proficiency in Microsoft Office tools (Outlook, Word, Excel), shared collaboration sites, and training management software
- Strong Writing and Research Background
- Desire to gain in-depth knowledge in Compliance and Ethics
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Intern, Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for an intern, compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for intern, compliance
- Assist in developing compliance monitoring procedures
- Assist with the facilitation of compliance risk assessments
- Collaborate with the HR Compliance manager in process mapping various compliance programs from end to end globally interacting within HR and outside with such teams as Finance, Accounting, Audit, Sales, Security, and Legal
- Plan and manage our mid-year SOX audit
- Provide recommendations on operational efficiency as it comes to our various programs
- Understand the importance of this work as it relates to being in compliance at both the local, state and federal/country level
- Update written documentation as to any changes in policy or process
- And other HR and compliance related projects.
- Participates in the development of recommendations to enhance risk indicators, change controls, and/or make process improvements
- Develops reports and communicates risk analysis and control testing results
Qualifications for intern, compliance
- Works independently with some supervision needed
- Self-started and driven
- Organized and good project management skills
- Analytical in nature
- Excel expertise required, SQL database experience preferred, but not critical
- Familiarity with controls and auditing preferred
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Intern, Compliance Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of intern, compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for intern, compliance
- Create a functional specification list for all Federal and State Test requirements
- Learn the general compliance processes of a large global corporation with varied business lines
- Gain knowledge of industry regulations through research and analysis of applicable rules and regulations
- Assist in continuous improvement efforts for a robust and comprehensive compliance program, metrics and training materials
- Participate in cross-company training and networking as part of the internship experience program
- Collaborate with other departments and suppliers to obtain information and documentation to support regulatory compliance determinations
- Ensure supplier regulatory compliance documentation is current and meets Printpack's requirements
- Gain knowledge in FDA compliance evaluation for food packaging to interpret and evaluate supplier regulatory compliance statements
- Develop and implement database modules to support regulatory compliance functions for Printpack
- Develop and document procedures for regulatory compliance process management
Qualifications for intern, compliance
- Currently pursuing a Bachelor’s or Master's degree in Accounting, Finance or Real Estate with an expected graduation date between August 2017 – May 2019
- Accounting, Management, Mechanical, Electrical, Environmental Eng
- Corporate experience as an intern or similar is preferred
- Must be proficient with Microsoft Office (Excel, Powerpoint), MS Outlook
- Candidates with prior internship experiences and business, communication related majors are preferred
- Must be enrolled as a full-time student at an accredited university and in good academic standing, GPA minimum of 3.0 preferred
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Intern, Compliance Job Description
Job Description Example
Our innovative and growing company is hiring for an intern, compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for intern, compliance
- Follow up of TPI’s training certificates and documentation
- Understand the Temporary Importation Bond and NAFTA Duty Deferral Entry regulations/requirements
- Compare the current work procedure to the regulations/requirements
- Work the open TIBs to learn the existing process
- Identify possible improvements
- Test the improvements on the outstanding TIBS
- Implement improvements and update written procedures to reflect them
- Reviews insurance product advertising, product descriptions, training materials, websites, social media and other documents used to market the products, services or programs advertised
- Reviews insurance product forms related to the sale of products, service of products, and product claims and communications
- Reviews social media content used to market products and services
Qualifications for intern, compliance
- Ability to do research on the internet around various compliance issues and provide a summary review against our current process for compliance
- Currently enrolled in a Bachelor's or Master’s program from an accredited college or university
- Minimum cumulative current GPA of 3.0
- Ability to diligently compare lists of data and identify missing entries
- Moderate understanding of electronic component details
- Familiarity with computer systems and simple word-processing/spreadsheet manipulations