Compliance Intern

About the role

Compliance internship supporting advisory legal services, surveillance, regulatory reporting, and marketing compliance. The role offers exposure to investment-management regulations, investment products, regulatory filings, conflicts, information barriers, and marketing-material reviews while working collaboratively with Compliance team members.

Responsibilities

• Support regulatory filings, committee governance, information barriers, and conflicts-related compliance matters.
• Assist with training materials concerning emerging regulatory issues.
• Conduct surveillance monitoring for policies covering portfolio management, trading practices, and information barriers.
• Review marketing materials and support compliance projects for U.S. and international investment-product distribution.
• Collaborate with marketing, product, sales, and Compliance teams across various matters.

Team And Training

• Work collaboratively with Compliance team members across multiple functional areas.
• Receive knowledge and support from team members to execute internship responsibilities.
• Gain exposure to Code of Ethics, Distribution, Investment and Operations Services, and Broker-Dealer Compliance.
• Develop skills through teamwork, knowledge sharing, process improvement, and technology-supported innovation.

Requirements

• Be a May or June 2027 bachelor’s degree candidate.
• Be a student in good standing with a cumulative GPA of 3.0 or better.
• Work in the United States without visa sponsorship, now or in the future.
• Demonstrate strong knowledge of Microsoft Office Suite, particularly Word and Excel.
• Show intellectual curiosity and an interest in financial services.