Legal & Compliance Intern

About the Company:

Wealthspire is a leading wealth management, retirement advisory, and business management firm serving individuals, families, endowments, and institutions across the United States, Canada, and the United Kingdom. We provide a comprehensive platform that brings together wealth management, institutional consulting, business management, family office, and retirement plan advisory services empowering clients to navigate complexity with clarity and confidence.

With over 1,200 employees across more than 40 offices, we deliver insights and solutions backed by deep research, technology, and decades of expertise. Our collective businesses create a unified ecosystem designed to meet clients wherever they are in their financial journey. Wealthspire is redefining the future of financial solutions through collaboration, scale, and a steadfast commitment to putting people first - our clients, our colleagues, and our communities.

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.

For more information, visit www.wealthspire.com. Wealthspire Advisors LLC, Fiducient Advisors LLC, Wealthspire Retirement, LLC , Wealthspire Retirement Advisory, and certain other affiliates are separately registered investment advisers.

Internship Description: 

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.

Location: Chicago, IL/Boston, MA/Windsor, CT/McLean, VA 

Responsibilities (or Project Work):

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

Knowledge, Skills & Abilities:

• 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

Physical Job Expectations:

The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job.

• Sitting, particularly for sustained periods of time
• Regularly required to listen and speak
• Frequently required to stand, walk, use hands and fingers, handle or feel and reach with hands and arms
• Ability to lift up to 25 pounds
• Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions

Qualifications:

• 2L Class, 2L Eve/PT, 3L Class, 3L Eve/PT, L.L.M. Student
• Genuine interest in investment research or investment consulting and desire to learn more about the financial services industry
• Strong analytical skills with a keen attention to detail, organization skills and time management skills
• Ability to work independently and collaboratively in a collegial environment with excellent verbal and written communication skills
• Knowledge and experience with Microsoft Office products such as Word, PowerPoint and Excel

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 – $25.00 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.

 

 

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.