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Compliance Internship

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.