Summer 2026- Compliance Intern

Summer 2026 Internship Program

About the Role

We are seeking a motivated and detail-oriented Compliance Intern to join our team in Lexington, SC. This role is ideal for students or recent graduates interested in financial regulations, risk management, and operational oversight within a wealth management firm. The intern will gain hands-on experience supporting compliance functions, ensuring regulatory adherence, and learning the internal controls that guide financial advisory practices.

Key Responsibilities

• Review client accounts and transactions to ensure accuracy and compliance with firm policies and regulatory standards
• Monitor and analyze trades and account activity for suitability, documentation, and potential compliance concerns
• Assist in identifying and flagging irregularities or discrepancies in account activity
• Work with policy books and compliance manuals to ensure proper procedures are followed
• Support account reviews and linking processes to maintain accurate client records across systems
• Learn the ins and outs of compliance within wealth management, annuities, and insurance products
• Help maintain detailed records of account reviews, trade approvals, and compliance checks
• Assist in preparing reports and documentation for internal audits and regulatory reviews
• Maintain and update CRM systems and compliance logs with accuracy and confidentiality
• Participate in compliance training sessions and team meetings
• Provide administrative and operational support to ensure smooth compliance workflow
• Contribute to special projects related to compliance audits, trade surveillance, or process improvements

Qualifications

• Currently pursuing or recently completed a degree in Finance, Business, Economics, Accounting, or a related field
• Strong analytical and organizational skills
• Excellent written and verbal communication abilities
• Ability to work independently and collaboratively in a team environment
• High level of professionalism, integrity, and discretion
• Proficiency in Microsoft Office (Excel, Word, PowerPoint); familiarity with CRM or compliance software is a plus

Preferred Traits

• Interest in financial regulations, compliance, or risk management
• Willingness to learn and take initiative
• Strong attention to detail and commitment to accuracy
• Ability to handle sensitive information with confidentiality
• Comfortable working in a structured, process-driven environment

What You Will Gain

• Hands-on experience in compliance operations within a wealth management firm
• Practical exposure to account reviews, trade monitoring, and regulatory processes
• A strong understanding of compliance requirements for financial advisors, annuities, and insurance products
• Mentorship from experienced professionals in compliance and operations
• Opportunities to build professional skills and expand your industry network