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.