Compliance Specialist Intern Jobs

AspinRock Inc., a community-oriented financial services company, is excited to offer a rewarding internship opportunity as a Compliance Specialist. We are seeking a highly motivated and detail-oriented intern to support our compliance efforts as we navigate the process of becoming a registered financial advisory firm. AspinRock Inc. prides itself on accountability and transparency, and this internship will play a crucial role in upholding these values and building a strong foundation for our future.

Responsibilities:

• Assist in conducting research on financial regulations, laws, and industry best practices to support compliance initiatives.
• Aid in responding to inquiries and requests from regulatory authorities in a timely and accurate manner.
• Support the registration process and assist in obtaining necessary licenses and permits for financial advisory services.
• Help prepare and submit regulatory reports and documentation as required.
• Contribute to the development of compliance training materials to foster a culture of compliance awareness.
• Participate in internal audits and compliance reviews to ensure adherence to established standards.
• Collaborate with cross-functional teams to develop and implement compliance policies, procedures, and controls.
• Assist in investigating compliance breaches or potential risks, and propose appropriate corrective actions.

Skills and Qualifications:

• Proficiency in Microsoft Office, particularly Excel and PowerPoint.
• Strong attention to detail and accuracy in documentation.
• Ability to work collaboratively in a team-oriented environment.
• Strong academic track record with a GPA of 3.7 or above on a 4.0 scale.
• Effective communication skills, both written and verbal.
• Eagerness to learn and contribute to a dynamic and growing company.
• Currently pursuing a Bachelor's degree in finance, accounting, business, or a related field.
• Demonstrated interest in financial services and regulatory compliance.
• Excellent research, analytical, and problem-solving skills.

Expectations:

As a Compliance Intern at AspinRock Inc., you will immerse yourself in a formal and professional work environment while maintaining an approachable and community-oriented mindset. You will actively contribute to our mission of empowering individuals with accurate financial information, always seeking to foster meaningful discussions and interactions within our community.

This internship will offer a valuable learning experience, allowing you to develop skills in compliance, regulatory affairs, and financial services. AspinRock Inc. is committed to providing a supportive and educational environment, and we look forward to having a talented intern join our team to help us achieve our compliance objectives while building a community-focused financial services brand.