Compliance Intern
Compliance Intern
Job Summary
Do you have an interest in the asset management industry, demonstrate exceptional attention to detail, and take pride in delivering a timely and accurate work product? Is working for an organization that values the unique attributes of each associate and makes firm culture a top priority important to you? The Compliance Intern position at River Road Asset Management is for you!
Reports To: Deputy Chief Compliance Officer
Location: Louisville, KY
Work Arrangement: In-Office (not work from home)
Status: Year-round, Internship, Part-Time
A typical day may involve:
The Compliance Intern assists the compliance department with departmental efficiencies and administration
· Using Outlook email and keeping up with meetings, emails alerts, and task requests
· Using Microsoft Word to draft memos or process documents
· Using Microsoft Excel to analyze trading and other data
· Reviewing third-party system used for managing company proxy voting for client accounts
· Performing proxy voting process
· Performing compliance testing (a few examples are reviewing trading files to look for violation of our policies regarding fair trading and allocations among client accounts; reviewing for unreported events such as political donations by employees; reviewing new clients versus regulatory sanction lists)
· Helping with projects such as reviewing materials to look for testing areas or document testing areas
· Reviewing regulatory reports
· Performing office/administrative tasks such as scanning, filing, and collecting signatures on documents
Requirements
· Assists in identifying and implementing departmental efficiencies in areas of compliance/policy testing, compliance data management, books and records maintenance, and proxy voting.
· Performs oversight testing of policy and procedures.
· Assists in the management of proxy voting.
· Assists in the preparation of regulatory filings.
· Assist with special projects as assigned.
· Assists with general administrative duties and functions for the firm as assigned.
Experience and Qualifications
· Interest in regulatory compliance or the investment management industry
· Extraordinary attention to detail
· Strong knowledge of and interest in coding and software development, such as Visual Basic.
· Strong knowledge of Microsoft Excel, PowerPoint, Word, TEAMs, managing files and records, and note-taking.
· Strong work ethic and organizational skills
· Strong oral/written communication and interpersonal skills
· Ability to quickly learn and follow processes
· Ability to thrive in a dynamic, team-based environment
· Exhibits professional maturity and ability to be a team player
· Some college coursework required
Applicants are asked to include a cover letter with their application.
About River Road Asset Management
River Road Asset Management is committed to being a leading, world-class provider of value-oriented equity asset management services.
Established in 2005, River Road specializes in value-oriented equity management for institutional investors around the world. We believe our people are our greatest asset. At River Road we offer our associates a culture of integrity, respect, entrepreneurial thinking, teamwork and shared rewards.
Learn more about River Road Asset Management.
Diversity, Equity & Inclusion Statement
We believe diversity is at the core of all highly effective entrepreneurial teams. It is through diversity of thoughts, attributes, identities, experiences, and backgrounds that great ideas are born, obstacles are overcome, and objectives are achieved. In our commitment to building and retaining a diverse workforce, we are dedicated to equity and inclusion in every aspect of the associate lifecycle and the culture that shapes the River Road work experience.
Supporting Equal Employment Opportunity Statement
River Road Asset Management provides equal employment opportunities (EEO) to all associates and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, age, disability, genetic information, marital status, or status as a covered veteran in accordance with applicable federal, state and local laws. The firm complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
River Road Asset Management expressly prohibits any form of unlawful harassment based on race, color, religion, gender, sexual orientation, gender identity, national origin, age, genetic information, disability or veteran status. Improper interference with the ability of River Road Asset Management associates to perform their job duties is not tolerated.