Position Description

Compliance Intern
Location MN - Minneapolis (Headquarters)
Business Area Legal & Compliance
Employment Type Temporary
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Piper Jaffray is currently seeking an intern to join our Compliance team in our Minneapolis, MN office on a part time basis. This position will provide support for all aspects of the Conflicts of Interest and Internal Employee Compliance programs. 

Responsibilities:

  • Assist Compliance Analyst in day to day triage of disclosed employee activities
  • Maintain records of employee trading accounts
  • Enter trading information received in hard copy confirmations and statements to the internal employee trading application
  • Assist Records Management in maintaining employee trading information on and off site
  • Uphold a high level of confidentiality
  • Ensure business partners receive positive customer service experience when interfacing with Compliance Department
  • Upload historical data into new Compliance Technology Platform
  • Partner with AML group to process RDC alerts on a bi-monthly basis
  • Other duties as assigned

Requirements:

  • Completed or in the process of completing a Bachelor’s Degree
  • 0-2 years of office experience
  • Exceptional attention to detail and ability to process work accurately
  • Strong written and verbal communications
  • Good organization skills
  • Ability to work independently
  • Proficient in Microsoft Office Word, Excel, Access and PowerPoint

*LI-KM1

 

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