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Compliance Intern
Omaha, NE **MEMBERS ONLY**SIGN UP NOW***. is seeking a motivated student interested in learning about one of the fastest growing segments of the financial services industry, the independent registered investment adviser channel, and the high-in-demand compliance profession. The individual serving in this internship will be exposed to a wide variety of business models within the investment adviser industry and learn about numerous regulatory challenges in establishing and operating a registered investment adviser firm and some of the available compliance and risk management strategies. Duties: Primary responsibilities for the compliance intern will include researching state, SEC and DoL regulations for investment advisers, surveying state securities regulators regarding state registration requirements, drafting newsletters articles/blog posts about existing and new securities regulations that affect investment advisers and developing sample compliance policies and procedures and audit questions/findings. Training: In order to expand the compliance intern’s general understanding of investment adviser industry and corresponding compliance, the intern will participate in monthly, or more frequent, training sessions covering a wide variety of investment adviser registration and compliance topics. Additionally, intern will be given an opportunity to participate in several consulting client meetings or calls during the internship. Mentor: Intern will be assigned a mentor, who will check-in daily with the intern regarding day-to-day tasks and be available as a training resource. Additionally, a senior compliance consultant will serve as the intern’s supervisor. Intern, mentor and supervisor will establish short, mid and long-term learning objectives and project goals for the internship. Supervisor, mentor and intern will typically meet weekly to discuss status of learning objectives and assigned projects. Intern will meet monthly with supervisor and our firm’s president to discuss some of the current trends in the financial services industry and compliance profession. Required Skills & Experience: The applicant should be currently enrolled in his or her second year of law school. Applicant should be ranked in the upper half of his or her law school class. Applicant should be a full-time student attending a college or university located in Nebraska, or a legal resident of Nebraska attending a college or university located outside of Nebraska. The applicant should have previous work experience, possess strong writing skills and solid research skills, capable of learning independently how to use new software systems and an interest in learning about the financial services industry and compliance profession. Location: The intern will work in the offices of RIA Compliance Consultants located in Omaha, NE. Hours: The intern will be required to work 15 to 20 hours per week during the school year and 35 - 40 hours per week during the summer (approximately May through August depending upon school schedule) and/or school break. Length: This internship will start October 24, 2016 and last until August 11, 2017. |
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