Piper Sandler is a leading middle market investment bank firm serving clients in the U.S. and internationally. The Firm is a leading financial advisory and capital markets firm that wins through deep sector expertise, candid advice and a differentiated, highly productive culture - enabling growth and success for our clients as well as rewarding careers for our employees.
We are currently seeking a Compliance Intern. This position will support the Compliance department by participating in a variety of day-to-day activities. In addition, the position will assist the team in conducting Compliance reviews and follow up on outstanding items. The Compliance Department is as an integral part of the Firm's overall risk management schema, specifically charged with carrying out regulatory obligations to establish, maintain, review, test and modify the Firm's system of supervision and control.
Responsibilities:
Perform day-to-day compliance monitoring and surveillance activities
Seek process improvement areas where technology or efficiencies can be leveraged
Assist the various compliance teams with follow-up on outstanding compliance issues
Participate in reviews for policy adherence and potential regulatory issues
Handle routine compliance requests such as ordering study materials or updates to the firm's do not email list
Uphold a high level of confidentiality
Ensure business partners receive positive customer service experience when interfacing with Compliance Department
Other duties as assigned
Requirements:
Completed or in the process of completing a Bachelors' degree
0-2 years of office experience
Some experience with one or more of the following technologies: Tableau, SharePoint, Excel, My Compliance Office, Onspring and Microsoft Office Tools