Location
Brookfield Place New York - 225 Liberty Street, Suite 3501
Business - Brookfield Oaktree Wealth Solutions
Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses. In 2019, Brookfield acquired a majority interest in Oaktree Capital, a leader among global investment managers specializing in credit and other alternative investments. Together, Brookfield and Oaktree share a long-term, value-driven, contrarian investment style, focusing on sectors in which their in-depth operating experience and market knowledge provide a competitive advantage.
Brookfield Oaktree Wealth Solutions is a dedicated business delivering the unparalleled alternative investment expertise of Brookfield and Oaktree to private wealth investors, in partnership with their financial advisors. The business unit is dedicated to effectively supporting the financial intermediary community and bringing timely & unique solutions to market with the individual investor in mind.
Brookfield Culture
Brookfield has a unique and dynamic culture. We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.
Job Description
The Firm is seeking an intern for the Compliance Department in its New York Office. The Compliance team is responsible for managing the Compliance Program for BOWS. Our responsibilities entail providing regulatory advice to the business, conducting monitoring and surveillance activities, ensuring policies and procedures are up-to-date, conduct regulatory filings and trainings as needed. In this role, the individual will become an integral part of the Compliance team and participate in its routine activities. The individual will also work closely with members of the BOWS legal team, marketing, sales, IR, finance and platform operations teams.
Responsibilities:
• The intern will assist with marketing reviews, where they will learn and apply different jurisdictional rules for marketing, ensuring materials meet the necessary regulatory standards.
• The intern will become familiar with FINRA rules and various compliance tasks, gaining hands-on experience with essential tools in the securities industry.
• The intern will assist in drafting and updating compliance policies, ensuring they reflect the latest regulatory changes. Stay abreast of new compliance updates from the industry regulators, including FINRA and the SEC allowing the team to remain compliant with evolving regulations.
• Update rosters and contribute to Broker-Dealer testing program to help maintain accurate records and ensure the firm's compliance with regulatory requirements.
• The Intern will play a role in creating or updating training materials, organizing workshops, and improving compliance processes through automation and documentation.
• Additionally, assist with regulatory inquiries/audit preparation and follow-ups, ensuring that all necessary information is accessible. Qualifications & Requirements:
⢠Pursing a Bachelor's degree in Business, Economics, Legal Studies or a similar related field with completion of at least the second year
⢠Proficient with MS Office Suite (Word, Excel and PowerPoint)
⢠Team player, resourceful, curious, open to feedback, energetic and willing to get involved where needed
⢠Ability to independently manage workload and respond to shifting priorities
⢠Exceptional written and verbal communication skills and strong attention to detail
⢠Ability to work effectively with all levels of the organization, including senior executives and external partners
⢠Self-starter with a strong work ethic and positive attitude
Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment.
We are proud to create a diverse environment and are proud to be an equal opportunity employer. We are grateful for your interest in this position, however, only candidates selected for pre-screening will be contacted.
