Compliance Licensing & Reg Intern- Summer 2027

First Roles; EE. UU.; Presencial; USD 21.000 - 29.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health insurance

Dental insurance

Vision care

401k

Wellness initiatives

Life insurance

Paid time off

Descripción de la vacante

Stifel is seeking a Licensing & Registration Compliance Intern to support the processing of securities registrations for licensed individuals. The role requires on-site availability 7:30 a.m. to 4:30 p.m.

CST and involves U4 processing, data integrity in BETA (REGR), and project-based tasks within the Compliance team. You will gain exposure to regulatory requirements, sharpen analytical and communication skills, and contribute to timely, accurate reporting while collaborating with a seasoned

Formación

• Pursuing an undergraduate degree, preferably in a related field, with at least one year of college completed.
• Demonstrated track record of achievement in academics and participation in extracurricular activities.
• Working knowledge in Microsoft Excel, Word, and Outlook.
• Comfortable with web browser based data input systems.

Responsabilidades

• Process Form U4s and amend as applicable.
• Maintain accurate information in BETA (REGR) and NRF systems.
• Ensure compliance with applicable industry rules and regulations.
• Perform administrative duties such as scan filing, spreadsheets, and reports.
• Handle dedicated projects assigned by supervisor and work independently or with the team.

Conocimientos

Communication

Analytical thinking

Interpersonal skills

Microsoft Excel

Microsoft Word

Microsoft Outlook

Web data entry

Educación

Undergraduate degree in a related field

Herramientas

Microsoft Excel

Microsoft Word

Microsoft Outlook

Descripción del empleo

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let’s talk about how you can find your place here at Stifel, where success meets success .

Under minimal supervision, the Licensing & Registration Compliance Intern prepares and processes all securities related registration for its licensed individuals. This includes requests from all broker/dealer subs and affiliates, jurisdiction applications and terminations, and monitoring for registration violations.

• Required to be available on-site during standard working hours 7:30a.m. - 4:30p.m. CST.
• Process Form U4s, making prompt amendments as applicable to the position. Maintain accurate information in BETA (REGR). Maintaining accurate information on NRF associates, Representatives, and Investment Advisors.
• Work to insure compliance of applicable industry rules and regulations.
• Perform applicable administrative duties such as scan filing, preparing various spread sheets and reports, performing or assisting with special projects, responding to phone calls, etc.
• Responsible for dedicated projects assigned by supervisor/manager and other duties as needed. Works independently or provides assistance on various other assigned projects and confidential issues that are generally complex, difficult or broad in scope.
• Ability to communicate information and ideas in spoken or written form so that others will understand.
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
• Works closely with the Compliance team, producing accurate work in a timely fashion. Managing one's own time and priorities to ensure the meeting of deadlines.
• Uses logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems. Understanding the implications of new information for both current and future problem-solving and decision-making.
• Possesses strong communication, analytical, and interpersonal skills.

• Minimum Required: Pursing an undergraduate degree, preferably in a related field, with at least one year of college completed.
• Minimum Required: Demonstrated track record of achievement in academics and participation in extracurricular activities.
• Working knowledge in Microsoft Excel, Word, and Outlook.
• Comfortable with web browser based data input systems.

Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intellectually tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment,

• health
• dental
• vision care
• 401k
• wellness initiatives
• life insurance
• paid time off

Stifel is an Equal Opportunity Employer.