Compliance Intern

Job Description

Summary:

OneDigital is looking for a rising college Junior or Senior to intern with our team! Being a part of our JUMPSTART Internship program will give you hands-on experience at one of the nation’s fastest growing strategic advisory firms. This is an exciting opportunity to join a growing organization recognized as one of Glass Door’s 2023 Best Places to Work!

Responsibilities:

Under direction of the Compliance Director, provide assistance to the OneDigital Investment Advisor’s Compliance Department for projects and initiatives. 

Help prepare responses to compliance questions posed through the Compliance Portal. 

Assist in analyzing internal controls in order to detect violations of compliance policies/procedures, including Code of Ethics/Personal Trading/Client Trading. 

Review information gathered by associates for adherence to the Code of Ethics. 

Assist with review of compliance surveillance reports and investigate exceptions. 

Qualifications: 

Desire to conduct compliance research and analysis.

Self-starter with project management skills; respond to managerial direction, complete tasks on time, and take responsibility for actions. 

General understanding of the financial markets. 

Strong communication skills (verbal/written). 

Strong attention to details and problem-solving skills. 

Balances team/individual responsibilities; exhibits objectivity/openness to new ideas and welcomes feedback. 

Demonstrate initiative.

Must have ability to handle business-sensitive/confidential information in a discrete manner. 

Strong computer skills and demonstrate a high level of proficiency with Microsoft Office Suite (Word/Excel/PowerPoint/etc.). 

Education, Training and Experience:

A rising Junior or Senior pursuing a bachelor’s degree in Business, a business related degree or Pre-Law.