INTERNSHIP - Regulatory Affairs, Compliance INTERNSHIP - Regulatory Affairs, Compliance …

in New York, NY, United States
Permanent, Full time
Last application, 26 Jun 19
in New York, NY, United States
Permanent, Full time
Last application, 26 Jun 19
INTERNSHIP - Regulatory Affairs, Compliance
Division Description:

The SGUS Compliance Department monitors the corporate banking, investment banking and broker-dealer activities of SGUS and reports on the compliance risks and issues to SGUS and Global Compliance Senior Management. Additionally, the SGUS Compliance Department works closely with the Global Compliance Department in Paris to ensure effective implementation of Global Compliance policies and to coordinate all cross-border business transactions and activities. The SGUS Compliance Department is responsible for monitoring the handling of sensitive confidential business information by SGUS personnel through the Compliance Control Room. It administers the SGUS Employee Investment Policy, arranges for the registration of broker-dealer personnel, and conducts compliance training. In addition, the Advisory Team provides the various business lines with guidance and advice on relevant rules and regulations. The US Financial Crime department is responsible for ensuring compliance with anti-money laundering ("AML"), Bank Secrecy Act, USA PATRIOT Act, OFAC and sanctions regulations for the US operations. Additionally, AML oversees key processes and risks of the KYC department.

Day-to-Day Responsibilities:

Day to day responsibilities include but not limited to:

  • Maintain Departmental Metrics and Tracking Logs
  • Create departmental reporting and presentations for senior management
  • Monitor centralized departmental mailbox
  • Assist in gathering documents and other information in response to regulatory requests
  • Maintain departmental procedures
  • Assist in the onboarding of onsite regulatory staff
  • Process reporting obligations for US regulators
  • Administer surveillance and other controls related to Confidential Supervisory Information ("CSI") Compliance program

  • Other responsibilities include but not limited to:

    • Adhoc projects as required.

    Competencies, Skills and Qualifications :


  • Solid communication skills
  • Strong work ethic and ability to take direction
  • Strong organizational skills
  • Excellent attention to detail
  • Must be able to interact with varied stakeholders in a professional environment
  • Ability to absorb instructions and execute

  • Technical Skills & Knowledge:


    • MS Office Outlook, Word, Powerpoint proficiency

    • Strong Excel skills

    Qualifications (Experience, Education, Languages):


    • Senior in College or recent graduate with Bachelor Degree


    • Prior internship or work experience in wholesale banking