Corporate Graduate, Distribution Compliance

About the Role

This is a 12-month graduate program focusing on gaining firsthand experience in Distribution Compliance. Successful graduates will be considered for full-time positions at the end of the program.

Key Responsibilities

• Support the U.S. Distribution Compliance team as a Compliance Graduate.
• Contribute to the Marketing Compliance Reimagined program, including modernization of review models, processes, and technology (including AI).
• Support the review of advertising and marketing materials in accordance with applicable FINRA and SEC Regulations, GIPS standards, internal policies, and other relevant guidelines.
• Provide guidance to business partners and team members on advertising compliance matters, supporting a risk-based approach.
• Collaborate with internal partners and develop professional relationships.
• Develop an understanding of evolving regulatory requirements that impact the business.
• Demonstrate continued growth in understanding applicable regulatory requirements and a willingness to expand knowledge.
• Carry out other duties as assigned.

Requirements & Tech Stack

• Bachelor’s degree preferred (Accounting, Finance, or related field preferred).
• Internship or other relevant experience in financial services, compliance, risk, technology, or a related field preferred.
• Outstanding time management, organizational, and follow-up skills.
• Ability to manage multiple tasks simultaneously and develop a prioritization system.
• Strong digital skills, including proficiency with Microsoft Office applications.
• Ability to learn new technology and workflow systems.

Nice to Have Skills

• Interest in financial markets, investment products, regulation, and the asset management industry.
• Excellent interpersonal, written, and verbal communication skills.
• Interest in developing knowledge of SEC and FINRA requirements; familiarity with financial regulation, GIPS, or related standards is a plus.
• Curiosity and a continuous-improvement mindset.
• Strong attention to detail and accuracy.
• Comfort learning and working with technology-enabled marketing compliance tools, automated workflows, reporting, and emerging technologies.

Potential for Growth

• Mentoring
• Leadership development programs
• Regular training
• Career development services
• Continuing education courses

Compensation Information

• Base salary range: $70,000 - $75,000
• Annual discretionary bonus opportunity based on Company, department, team, and individual performance.

Benefits

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• Excellent Health and Wellbeing benefits including corporate membership to Wellhub
• Paid volunteer time
• Support for professional development courses, tuition/qualification reimbursement
• Maternal/paternal leave benefits and family services
• Employee events and programs
• Complimentary beverages, snacks, and Happy Hours
• Comprehensive total rewards package including competitive compensation, pension/retirement plans, and various health, wellbeing, and lifestyle benefits.