Compliance Intern

Cambridge Investment Research, Inc.; Fairfield (IA); Hybrid; USD 23,000 - 36,000; Full time

Benefits offered by this job

Apartment-style housing

2 paid holidays

2 paid time off days

Job summary

Cambridge Investment Research, Inc. invites a Compliance Intern to join our on-site team in Fairfield, IA. You will support regulatory reviews, data analysis, and policy updates, gaining exposure to supervision of trading activity and investment product due diligence.

The 11-week paid internship runs May–July, with mentorship, professional development, and opportunities to connect across departments. Housing is available for Fairfield candidates, and interns may attend industry workshops and

Qualifications

• Current undergraduate student pursuing Business, Finance, Legal Studies, or a related field.
• Strong written and verbal communication, attention to detail, critical thinking, and analytical skills.
• Ability to work independently and collaboratively while managing assigned responsibilities.

Responsibilities

• Support ongoing compliance reviews and projects involving personal securities disclosures, trade data analysis, policy reviews, outside business activities, and off-channel communications.
• Conduct regulatory research, review changes to rules and regulations, identify potential program gaps, and help evaluate possible solutions.
• Maintain trackers, prepare reports, analyze data, update documentation, and assist with compliance audits and daily team activities.
• Support surveillance activities by running reports and documenting supervision of trading activity for financial professionals and clients.
• Complete investment product due diligence and ad hoc research used to develop compliance training and presentations.

Skills

Written & verbal communication

Analytical skills

Attention to detail

Critical thinking

Education

Undergraduate student in Business/Finance/Legal Studies

Tools

Outlook

Word

Excel

Microsoft Copilot

SharePoint

RegEd

Personal Securities Disclosure system

CLIC Trade Review

Job description

## Compliance InternApply: On-Site: Fairfield, IA: Full time: Posted Today: R-2025-230# **Job Summary**The Compliance Intern will gain practical experience with the tools, processes, and regulatory frameworks that support a broker-dealer and registered investment adviser. Interns will contribute analytical and technical support to ongoing compliance work while learning how Cambridge serves financial professionals and maintains effective regulatory and supervisory programs.# **Key Deliverables and Responsibilities*** Support ongoing compliance reviews and projects involving personal securities disclosures, trade data analysis, policy reviews, outside business activities, and off-channel communications.* Conduct regulatory research, review changes to rules and regulations, identify potential program gaps, and help evaluate possible solutions.* Maintain trackers, prepare reports, analyze data, update documentation, and assist with compliance audits and daily team activities.* Support surveillance activities by running reports and documenting supervision of trading activity for financial professionals and clients.* Complete investment product due diligence and ad hoc research used to develop compliance training and presentations.* Attend meetings with department leadership, observe decision-making, and collaborate with other departments to gain broader industry exposure.* Use Outlook, Word, Excel, Microsoft Copilot, SharePoint, RegEd, the Personal Securities Disclosure system, and CLIC Trade Review. # **What We Are Looking For*** Current undergraduate student pursuing Business, Finance, Legal Studies, or a related field.* Strong written and verbal communication, attention to detail, critical thinking, and analytical skills.* Ability to work independently and collaboratively while managing assigned responsibilities.* Curiosity about regulatory requirements, Cambridge policies, and the reasoning behind compliance practices.* Confidence asking questions, conducting research, and communicating professionally.* Initiative to seek cross-functional learning and collaboration opportunities. **Program Summary:** Cambridge’s Next Step 11-week paid summer internship program (May 17 – July 30) gives students the opportunity to gain valuable insight into both their chosen field and the financial service industry while working on meaningful projects that contribute to business outcomes. Each intern is partnered with a professional mentor and participates in our professional development program, which includes industry education, career workshops, leadership panels, and networking events. Nearly 30% of interns return to Cambridge as full-time associates.**Location:** All internships are on-site, operating out of our Phoenix, AZ or Fairfield, IA offices. Apartment-style housing is available for Fairfield candidates, and some positions may be eligible to work out of our West Des Moines satellite office.**Work Authorization:** Applicants must be authorized to work for any employer in the United States. We are unable to accommodate temporary student work authorizations, including initial Curricular Practical Training (CPT) and Optional Practical Training (OPT).**Posting Window:** Applications will be reviewed on a rolling basis beginning in November. Internships are expected to remain posted until January 15, but may close earlier if filled. Candidates are encouraged to apply early for greatest consideration.**Compensation:** $17-$26 per hour depending upon location, role, and year in school. Interns also receive 2 paid holidays and 2 days of paid time off across the summer.