Legal & Compliance Intern

Who We Are:

Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.

 

Summary:

Our 10-week Summer Intern Program is designed to provide students with a challenging and meaningful experience supporting the Fiducient Advisors Legal & Compliance team. The position involves day-to-day responsibilities and a variety of projects that will allow interns to enhance their industry knowledge. The role is in-person three days a week and remote two days per week

 

Responsibilities (or Project Work): 

• Investment adviser regulatory compliance support 
• Assist the Compliance Officer with administering the Firm’s Code of Ethics in support of the firm’s fiduciary duty of care and loyalty.
• Assist with firm risk mitigation, including the revision of Firm policies and procedures 
• Support the Compliance Officer in conducting compliance testing of the firm’s policies and procedures
• Perform other compliance and legal duties as required by Compliance Officer and Chief Compliance Officer/Associate General Counsel

 

Knowledge, Skills & Abilities: 

• 2L Class, 2L Eve/PT, 3L Class, 3L Eve/PT, L.L.M. Student, 
• Strong interest in regulatory Compliance in the financial services industry 
• Detail-oriented with a high level of accuracy, organizational skills, and time management 
• Knowledge and experience with Microsoft Office products such as Word, PowerPoint and Excel 
• Ability to achieve objectives within project timeline 
• Excellent written and verbal communication skills 
• Ability to work independently as well as with others in an energetic small team environment

 

 What We Offer:

Do you see yourself excelling in this position? Don't hesitate to apply, even if you don't meet every qualification on the list. We recognize that career journeys are as unique as individuals themselves, and valuable skills can come in various forms. We're eager to learn about your unique talents and experiences. 

The hourly range for this position is $20.00 – $27.00 per hour. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives. Wealthspire is an inclusive Equal Employment Opportunity employer