Compliance Intern - Remote

Summary

Responsibilities

• Provide assistance to the Compliance Department for projects and initiatives under the direction of the Compliance Director.
• Help prepare responses to compliance questions posed through the Compliance Portal.
• Assist in analyzing internal controls to detect violations of compliance policies/procedures.
• Review information gathered by associates for adherence to the Code of Ethics.
• Assist with review of compliance surveillance reports and investigate exceptions.

Requirements

• Desire to conduct compliance research and analysis.
• Self-starter with project management skills; able to respond to managerial direction and complete tasks on time.
• General understanding of the financial markets.
• Strong communication skills (verbal/written).
• Strong attention to details and problem-solving skills.
• Ability to handle business-sensitive/confidential information discreetly.
• Strong computer skills and high proficiency with Microsoft Office Suite.

Work-Life Balance Benefits

• People-first culture committed to supporting employees.
• Generous vacation policies.

Benefits

• Base pay of $18 per hour.
• Variable compensation and bonuses based on performance.
• Health, wellbeing, retirement, and other financial benefits.

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.

The typical base pay range for this role nationwide is $18 per hour.

Your base pay is dependent upon your skills, education, qualifications, professional experience, and location. In addition to base pay, some roles are eligible for variable compensation, commission, and/or annual bonus based on your individual performance and/or the company’s performance. We also offer eligible employees health, wellbeing, retirement, and other financial benefits, paid time off, overtime pay for non-exempt employees, and robust learning and development programs. You will receive reimbursement of job-related expenses per the company policy and may receive employee perks and discounts.

To learn more, visit: www.onedigital.com/careers