Legal & Compliance Intern

Job Description

Asset Mark is a leading strategic provider of innovative investment and consulting solutions serving independent financial advisors. We provide investment, relationship and practice management solutions that advisors use in helping clients achieve wealth, independence and purpose.

If you're looking for a place to expand upon your skills, Asset Mark offers you the opportunity to delve into a variety of work and interact with numerous departments within the organization. If you have a passion for learning and are serious about growing your skill set, let Asset Mark be the bridge to your future! We look for you to bring initiative, resourcefulness and the ability to make sound decisions while you balance vital responsibilities with poise.

Your desire for a fast-paced and exciting environment will be realized in this internship opportunity with a company that is dedicated to the personal and professional development of its valued employees.

Asset Mark’s Legal, Compliance and Risk Internship Program provides an excellent opportunity for students to gain hands on experience in the areas of investment adviser compliance, legal, operations and project management, while developing a wide variety of technical and interpersonal skills at a financial institution.

We can consider candidates for this position who are able to accommodate a hybrid work schedule and are close to our Concord, CA office.

• Work with Department Leaders on challenging legal, regulatory and risk-focused projects to gain a broad understanding of legal, compliance, and risk management in the wealth management business.
• Present on project outcomes and learnings at the end of internship

• Intermediate-Advanced knowledge of Microsoft Office® (Word, Excel, PowerPoint, Outlook)
• Excellent written and verbal communication skills
• Ability to self‑direct and manage time and priorities
• Attention to detail
• A positive, team oriented, can‑do attitude
• Demonstrated leadership, interpersonal, and analytical skills

• Pursuing a Bachelor’s or Master’s degree in Business, Management, Finance, Law Studies, or related field; will consider recent graduates
• Preferred minimum GPA of 3.0 on a 4.0 scale

Internship Details:
Hourly wage: $17/hour
Internship Duration:
June 8
- August 14

Candidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position.

We are Asset Mark,a company on the move, shaping the future of financial services. Growth is in our DNA. Every day, we combine technology, insight, and collaboration to create new possibilities for advisors,forour peopleandforourinvestors.

At Asset Markyour ideas matter;they’reheard, valued, and drive meaningful change. Join a team that sets new standards and creates space for you to thrive and do your best work.

Our mission is simple: to help our 10,500+ financial advisors make a meaningful difference in their clients’ lives. We do this by combining powerful technology, holistic support, and expert consulting to help advisors run stronger, more efficient businesses. Backed by a comprehensive suite of investment solutions and a trust company that boasts of $150B+ AUM, our platform empowers advisors to deliver exceptional service and an outstanding client experience.

Heart. Client Success. Integrity. Respect.

Excellence. Our values are how we show up every day.

• Leading with Heart, in truly making a difference in the lives of others: teammates, clients, investors and communities.
• Obsessing over Client Success, bringing a relentless focus on what matters to clients that sets us apart and creates loyal, lasting relationships.
• Unyielding Integrity, doingwhat’sright, always. Even whenit’shard.
• Collective Respect, in being authentic,inclusive and valuing all voices while winning together.
• Operating with Excellence, in learning fast, continuously improving,innovating and collaborating to find new and better solutions.

Our culture brings our mission and values to life. Here, we dowhat’sright, embrace diverse ideas, and innovate together. We also offer a wide range of benefits to support you and your family—because thriving at work starts with thriving in life.

• Flex Time or Paid Time Off and Sick Time Off
• 401K – 6% Employer Match
• Medical, Dental, Vision – HDHP or PPO
• HSA – Employer contribution (HDHP only)
• Volunteer Time Off
• Career Development / Recognition
• Fitness Reimbursement
• Hybrid Work Schedule

As an Equal Opportunity Employer, Asset Mark is committed to building a diverse and inclusive workplace where everyone feels valued.