Legal & Compliance Intern

Key Responsibilities

• Marketing Review: Assist with reviewing marketing materials, investor presentations, and other client-facing communications for compliance with applicable regulatory requirements, including the SEC's Marketing Rule. Maintain records of reviewed materials and track versions through the approval process.
• Form ADV and Regulatory Filings: Support the preparation and updating of the firm's Form ADV and other regulatory filings, including gathering information from internal stakeholders for annual and interim amendments.
• Compliance Deliverables Tracking: Follow up on outstanding compliance deliverables such as employee certifications, personal trading pre-clearances, and periodic attestations. Help maintain compliance calendars and tracking logs to ensure deadlines are met.
• General Support: Assist with maintaining compliance policies and procedures, conducting compliance testing and monitoring, organizing legal and compliance records, researching regulatory developments, and other ad hoc projects as assigned.

Qualifications

• Currently pursuing or recently completed a Bachelor's degree, Master's degree, or Juris Doctor, preferably in finance, business, law, or a related field.
• Strong organizational skills, attention to detail, and ability to manage multiple tasks.
• Excellent written and verbal communication skills.
• Proficiency in Microsoft Office Suite.
• Ability to handle confidential information with discretion.
• Prior exposure to financial services or regulatory compliance is a plus but not required.