Compliance Intern
About the Team:
The Compliance team covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives.
Who You’ll Work With:
Your contributions during your internship will be done in collaboration with our Compliance team members. We will invest the time to ensure you have the required knowledge to execute on your responsibilities. You will also need to demonstrate agility in handling a variety of other matters as they arise.
Advisory Legal Services
You will work with one of our team members and gain knowledge of the firm’s regulatory filings, committee governance, information barriers, and various conflicts issues that may arise. Your creative skills may be used to assist with creating training materials related to emerging regulatory issues.
Global Surveillance and Regulatory Reporting
Your analytical skills may be used as you help conduct surveillance monitoring for compliance with policies and procedures related to our firm’s asset management business, including portfolio management activities, trading practices, information barriers, etc.
Global Marketing Compliance Practices
You will be introduced to the marketing and sales practice requirements for the distribution of various investment products in the U.S. and internationally. You will also have extensive interactions with marketing/product/sales groups to facilitate the review of marketing materials and to support related compliance projects. In this role you will gain hands-on experience into understanding a range of investment products and the regulations that govern them.
What We’re Looking For:
We are seeking a talented, highly motivated undergraduate student who has demonstrated intellectual curiosity and an interest in financial services. Specifically:
• May or June 2027 bachelor’s degree candidate
• Student in good standing with a cumulative GPA of 3.0 or better
• Able to work in the US without visa sponsorship (now or in the future)
• Strong knowledge of Microsoft Office Suite, specifically Word and Excel
Who We Are:
We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over 4,000 employees across 51 locations operating in 25 countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work.
Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we are fully invested in you. If you're ready to challenge your limits and empower your career, join us!
Nashville, Tennessee