Compliance Intern

Horan

  • Cincinnati, OH
  • Training
  • Full-time
  • 17 days ago
Job Title: Compliance Intern InternshipDepartment: HORAN Wealth FLSA Status: Non-ExemptPosition Reports To: Chief Compliance OfficerPosition Summary:HORAN Wealth seeks a self-directed, well-rounded Intern who is responsible for providing support to various teams. This position requires attention to detail, effective collaboration skills and strong critical thinking skills. Willingness to go the extra mile to get things done is a must.Primary Responsibilities:Assist with developing existing compliance audit tools:
  • Reporting
  • Analysis
  • Utilize the technology we have to simplify regulatory tasks
  • Political contributions
  • Gifts and entertainment
  • Annual compliance questionnaire
· Provide support to Compliance and Operations as it relates to the merger of the registered investment advisors· Conduct in-depth reviews and outlines of recently issued guidance as necessary
  • Assist with updating current manuals:
  • Policies and Procedures
  • AML Policies and Procedures
  • Code of Ethics
· Provide support to various teams within the wealth management division, helping with administrative tasks, documentation, and any additional needs.· Ensure accurate record-keeping by maintaining organized records and other relevant information in line with compliance standards.· Develop presentation materials for internal training.· Engage in ongoing learning initiatives, staying current on industry regulations, wealth management practices, and software/tools used in the field.· Provide support for ongoing projects within the HORAN Wealth team.· Assist as needed for the successful execution of various initiatives.Knowledge, Skills, and Abilities:· Excellent organization skills.· High level of integrity and dependability.· Strong interpersonal skills, ability to communicate and manage well at all levels of the organization.· Self-starter attitude, great attention to detail and strong ability to multi-task.· Proficient in Microsoft Office.· Time management.· Excellent verbal and written communication skills.HORAN History:Since 1948, HORAN has served as a trusted advisor offering retirement planning, wealth management, and life insurance for estate and business planning. HORAN Wealth has a strong regional presence with a national footprint. With offices in Cincinnati, Ohio; and Ft. Mitchell, Kentucky HORAN serves both corporate and individual clients in 48 states. We strive to bring the best services, resources, and value to our clients through premier national partnerships with M Financial Group and Retirement Planning Advisory Group. Our integrity, commitment to excellence and industry knowledge are foundations upon which HORAN Wealth has built a reputation for delivering high quality products and services.

Horan