Compliance Intern | ICI

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 80,000 households from our over 140 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.

Our Corporate Office is seeking a Compliance Intern to join our ICI team. This internship offers hands‑on experience supporting compliance operations, including audit preparation, monthly trustee review support, documentation collection, and signature guarantee request tracking. The intern will work closely with the Compliance & Supervision team to compile required materials for office inspections, pull and organize statements for digital fiduciary reviews, and assist with time‑sensitive compliance processes. Key takeaways from this role include strengthening time management and organizational skills, gaining exposure to compliance workflows and audit readiness, and building foundational experience in financial services compliance. This is a remote internship opportunity.

In the spirit of pay transparency, we are excited to share the hourly rate for this position is $21 per hour.

Primary Job Functions

1. Audit Preparation Support

• Announce onsite and virtual office inspections to advisor team.
• Distribute questionnaires via MyComplianceOffice.
• Pull, organize, and compile required documents for scheduled office inspections within defined timeframes.
• Assist with additional audit tasks / reviews as needed.

2. Monthly Trustee & Fiduciary Review Assistance

• Retrieve and organize transaction reports needed for monthly trustee reviews.

3. Review Signature Guarantee Requests

• Document and track signature guarantee requests accurately.
• Navigate Salesforce to confirm request is for our client and related to our business.
• Upload a copy of the documents executed to the household in Salesforce.

4. Administrative & Operational Support (as needed)

• Support small projects tied to audit cycles or monthly compliance tasks.
• Complete ad hoc assignments that help streamline compliance workflows.
• Maintain organized digital records and follow proper storage procedures.
• Demonstrate strong time management by completing independent tasks on schedule.

Education/Qualifications

• Must be actively enrolled in a college or university degree program to be eligible for an internship. Candidates who have already graduated or will graduate before the start of the summer intern program are not eligible.
• Preferably pursuing bachelor’s degree in business administration, finance, accounting, or economics.
• Preferably students between their junior and senior years.
• Well-developed written and verbal communication skills with the ability to successfully interact with people at all levels of the organization.
• Detail oriented, highly organized and adaptable.
• Proficient with Microsoft Office Suite or related software.

WEG hires employees and makes decisions about their salary qualifications based on factors such as: the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. To comply with state pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified as the Intern level is $38,700.00 to$ 54,200.00. However, the base salary range bolded above is what we expect to pay as a starting range for this position.

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Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. As an intern, you may participate in the following benefits & development opportunities:

• Training and professional development

• Wellness programs and resources

• Worker's compensation – employer paid

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status. Your personal information is handled in accordance with applicable data protection laws.