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 in the Twin Cities, MN area with the ability to work onsite in Plymouth, MN headquarters.
-
Proficient with Microsoft Office Suite, including Excel and Word, or related software.
-
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, problem solver, adaptable, and able to work autonomously.
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. Thus, the entire salary range for those who are classified as the Intern level is $34,309 to $52,983.
IND123
#LI-Remote
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
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.
Top Skills
What We Do
In 1997, four advisors sharing an office space discovered they also shared an essential belief: The financial services industry needed a new and better way to provide advice to clients—one that would help relieve stress from their clients’ financial lives.
They built a firm that would deliver truly comprehensive financial guidance, all under one roof, so that clients wouldn’t have to deal with the hassle of managing multiple financial relationships, making complex decisions, or coordinating disparate accounts.
That idea has evolved into what we call the Roundtable™, our team of specialists and advisors in six core areas of wealth management. We believe that this team, paired with our 3-step UniFi™ process, helps ensure your financial life is organized, comprehensive and straightforward, enabling you to make more confident decisions and be less stressed when it comes to managing your wealth.
Securities offered through LPL Financial, Member SIPC (www.SIPC.org). Advisory services offered through Wealth Enhancement Advisory Services, a registered investment advisor. Wealth Enhancement Group and Wealth Enhancement Advisory Services are separate entities from LPL Financial.
