Summer Compliance Intern - Finance & Regulatory Research

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

Benefits offered by this job

Apartment-style housing for Fairfield

Premium benefits package including医疗/视

11 paid holidays

401K retirement plan with companymatch

Job summary

Cambridge Investment Research, Inc. seeks a Compliance Intern to gain practical experience with broker-dealer and registered investment adviser frameworks. You will support reviews, research regulatory changes, and maintain trackers while learning how Cambridge serves financial professionals and maintains supervisory programs.

The role involves collaboration across departments, data analysis, and exposure to training materials. On-site internship in the U.S.

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.
• Curiosity about regulatory requirements, Cambridge policies, and the reasoning behind compliance practices.
• Confidence asking questions, conducting research, and communicating professionally.

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.

Skills

Written communication

Verbal communication

Attention to detail

Analytical thinking

Independent and collaborative work

Education

Undergraduate student

Job description

Cambridge Investment Research, Inc. seeks a Compliance Intern to gain practical experience with broker-dealer and registered investment adviser frameworks. You will support reviews, research regulatory changes, and maintain trackers while learning how Cambridge serves financial professionals and maintains supervisory programs.

The role involves collaboration across departments, data analysis, and exposure to training materials. On-site internship in the U.S.