Intern (Regulatory Compliance & Legal)

Indianapolis, IN
Full TimeIntern
Job #: 11836

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Guggenheim Life and Annuity is seeking a summer intern to join the Regulatory Compliance and Legal department. As an Intern you will assist with the preparation of various documents and filings, which may be related to regulatory inquiries and requirements, financial and market conduct inquiries, subpoena requests, and transactional matters. You will also participate in research projects utilizing various legal and regulatory research tools such as Westlaw and other online legal information systems.

Interns will be exposed to legal and regulatory compliance operations on behalf of multiple legal entities within the Guggenheim Insurance family of companies and will have opportunities to interact with others in Guggenheim Life and Annuity Company and affiliated entities.

The position is located in Indianapolis (far north side).

Specific Responsibilities Include:
  • Assists with the preparation of Company documents and contracts for business agreements, confidentiality agreements, consulting agreements, suitability review, regulatory compliance, and insurance holding company system filings as well as general correspondence, including letters, memos, forms, and e‑mail communications.
  • Prepares resolutions by consent and minutes for corporate entities and affiliates and maintenance of original board records.
  • Assists with compliance reviews and audits.
  • Maintains electronic copies and inventory of corporate and legal documents, including business agreements, regulatory filings, litigation and other corporate documents of a legal and confidential nature.
  • Completes assigned projects and provides general administrative support for legal and regulatory compliance functions.
  • Regularly researches changes in insurance industry and legal environment to ensure the Company is in compliance with new state and federal regulations.
  • Maintains and updates Enterprise Connect Database.

Skills & Experience Required:
  • Currently enrolled in a graduate Juris Doctor program at an accredited college or university
  • Prefer student who has completed at least 1 year of an accredited law program with a focus on corporate or insurance law.
  • Grade point average of 3.3 (B+ or better)
  • Exposure to professional work environment with focus on customer service
  • Basic knowledge of research tools for business and legal professional helpful
  • Experience working in or knowledge of regulated industries preferred
  • Must demonstrate sound judgment and analytical skills with ability to work independently with a high degree of accuracy
  • Research and analytical skills to gather facts, analyze, organize and summarize information
  • Strong interpersonal and communications skills
  • High degree of professionalism, trustworthiness, and a demonstrated ability to handle highly confidential and sensitive information
  • Advanced use of MS Office applications, including Word, Excel, Power Point and Outlook and working knowledge of Internet as a research tool
  • Experience using database tools (ex: Access) and document management systems (OnBase, Enterprise Connect), and knowledge of Westlaw or Lexis-Nexis and/or other online legal information systems helpful

In addition, the ideal candidate will be or have
  • Attention to detail
  • Professional communication and demeanor
  • Sense of urgency, initiative
  • Professionalism, tact, diplomacy
  • Problem solving
  • Quick learner

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