Surveillance Compliance Intern

Are you ready to kickstart your career in compliance? In this dynamic role, you’ll play a crucial part in supporting our compliance efforts by managing data to monitor the day-to-day activities of our advisors and registered representatives. You’ll work in a fast-paced, ever-changing regulatory environment, thriving on proactive problem-solving and embracing change.

Responsibilities

• Manage and troubleshoot data errors and updates to keep our surveillance system running smoothly
• Assist with maintaining active data feeds for personal trading accounts
• Support audits of the surveillance systems files
• Take charge of compliance projects like a boss! Drive these initiatives independently
• Support other compliance teams as assigned—collaboration is key

Requirements

• Self-starter with an interest in compliance and data management
• Ability to work independently and take ownership of projects
• Exceptional problem determination skills with a high attention to detail
• Ability to gain knowledge and understanding of compliance requirements and regulations
• Confident, professional, and articulate written and verbal communication skills

Qualifications

• Completed coursework in corporate compliance, data analytics, business transactions, or other related topics (bonus points)
• Previous experience in business law, particularly securities, insurance, or compliance law (bonus points)
• Experience and interest in data analytics (bonus points)

Benefits

• Access to an on-site café and gym
• Continuous personal and professional development opportunities
• Recognition for hard work and exemplary performance
• Employee-sponsored events and more

About Us

Advisors Excel is a fast-paced, innovative company that serves independent financial advisors across multiple areas of their business—from operational functions to sales and marketing. Our end goal is to help advisors grow their businesses nationwide. We thrive on watching them succeed.

We also prioritize the success of our employees, setting high expectations to continually move our business forward. We’re looking for positive people who thrive on hard work and collaboration in a team environment.