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Intern - Compliance

Securities America, Inc. La Vista, NE

Job Description

Securities America, Inc. is currently seeking a Compliance Intern for the Fall of 2018. An internship position provides students with a hands-on learning experience that directly relates to the skills needed in a full-time position.  The opportunity exists to develop and learn key functions related to financial industry. The primary responsibilities of this position will include administrative, research and reporting support for the Compliance Department.

Position Duties/ Tasks:

This position is responsible for, but not limited to the following:

  • Conduct regulatory reviews as well as reviews of standard FINRA regulatory filings
  • Review new and updated regulatory rules
  • Assist with researching and completing weekly reports
  • Review and input necessary data into tracking spreadsheets
  • Aid in standard and regulatory inquiry data gathering
  • Assist in the development and updating of risk management procedures
  • Create and analyze monthly reports designed to detect transaction based risk at the representative, region, and sub-region levels
  • Assist in the generation of standard monthly and ad hoc reporting to facilitate the department in detecting trends, patterns, and anomalies
  • Perform other duties as assigned

Position Requirements:

  • Currently pursuing a bachelor’s degree in Finance, Business Administration or related degree
  • Must be available for part-time work during the Fall of 2018 and potentially the Spring of 2019
  • Ability to maintain complete confidentiality of information
  • Ability to organize, prioritize, and handle multiple tasks
  • Critical thinking skills necessary with the ability to plan ahead and conceptualize
  • Ability to pay close attention to detail
  • Ability to be at work on a regular basis
  • Ability to work under pressure and meet deadlines
  • Effective verbal and written communication skills
  • Skill in operating various office equipment including personal computer, fax machine, copier, etc.
  • Skill in utilizing various software packages including Microsoft Office, Outlook, Power Point and Excel, Access Databases at an intermediate or higher level


Job Details

Date Posted November 9, 2018
Date Closes December 9, 2018
Located In La Vista, NE
Department Compliance
Job Type Full-time Internship
Experience Level Entry Level (0-2 yrs. experience)
Positions Available 1
SOC Category 43-4011.00 Brokerage Clerks
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589