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? If working for an organization that values the unique attributes of each associate and makes firm culture a top priority, we’d love to hear from you. Applicants are asked to include a cover letter with their application. Please note, we will begin reviewing applications after August 1st.
Reports to: Compliance, Senior Specialist
Location: Louisville, KY
Work Arrangement: In-Office (not work from home)
Status: Part-Time, Internship, Flexible scheduling during business hours
A Typical Day May Involve:
Investment Compliance & Regulatory Support
- Conduct compliance testing (e.g., reviewing trading files for policy violations, checking for unreported employee activities, screening new clients against regulatory lists)
- Assist in the preparation and review of regulatory reports and filings
- Review and support the proxy voting process for client accounts
Data Analysis & Process Improvement
- Analyze trading and investment data using Microsoft Excel and other tools
- Identify and implement efficiencies in compliance/policy testing and data management
- Draft memos and process documents to support departmental procedures
- Automate and enhance workflows using software solutions, such as Power Automate or Python
Administrative & Team Support
- Manage scheduling and communications using Outlook and MS Teams
- Perform office and administrative tasks, such as scanning, filing, and collecting document signatures
- Support special projects and general administrative functions as assigned
- Occasionally provide assistance to the Administration Department
Requirements:
- Assisting in identifying and implementing departmental efficiencies in areas of compliance/policy testing, compliance data management, books and records maintenance, and proxy voting
- Performing oversight testing of policy and procedures
- Assisting in the management of proxy voting
- Assisting in the preparation of regulatory filings
- Assisting with special projects as assigned
- Assisting 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
- Knowledge of and interest in coding and software development, such as Power Automate or Python.
- Proficiency in process automation and coding is desirable
- 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
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.