Compliance Intern

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 75,000 households from our over 100 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

We are seeking a Compliance Intern to join our team. This internship offers a unique opportunity for students to gain hands-on experience in the field of SEC, FINRA, and State Regulatory Compliance, Supervision and Surveillance in a financial services firm. The intern will learn about the requirements, risk management, and the implementation of risk mitigation programs. Key takeaways from this role include developing a strong understanding of regulatory compliance frameworks, enhancing analytical skills, and gaining practical knowledge of industry best practices. This position is ideal for students looking to build a solid foundation for a career in regulatory compliance and risk mitigation. This is a remote/hybrid internship opportunity for candidates located in the Minneapolis/St. Paul metro area.

In the spirit of pay transparency, we are excited to share the hourly rate for this position is $20 per hour. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Primary Job Functions

Implementation of Compliance Processes

• Assist Compliance team with the implementation of compliance processes

• Develop clear and concise procedures by using software to write step-by-step instructions on compliance processes

• Maintain database of compliance processes and procedures

Track Compliance and Regulatory Requirements

• Support team with tracking compliance and regulatory requirements

• Support team with monthly reporting

Other Projects and Administrative Tasks

• Support the Compliance & Supervision team with ad hoc projects relating to report generation and administration

• Perform data integrity audits in various software

• Miscellaneous preparation of documents, organizing files, preparation of meeting agendas and notes, email and phone communication, and use of technology

• Provide support for other departmental functions as needed

Education/Qualifications

• Preferably pursuing bachelor’s degree in business, finance, economics, law, or related field.

• Preferably students between their junior and senior years.

• Based …