About the Role

Compliance is the operating system of our business. You will work directly with a registered investment adviser to see how a fiduciary firm protects its clients in a complex regulatory world.

A 12-week educational fellowship focused on the "operating system" of the investment world: fiduciary regulation. Designed for graduate students in finance, economics, or business, you will learn about state and SEC regulations, conduct mock audits, and gain exposure to the regulatory framework of private wealth management.

Unlike firms that outsource investment management to third-party model providers, Foxholm Financial builds its strategies in-house. This gives you direct access to the "engine room" of an advisory firm, seeing exactly how compliance decisions are made, regulations are interpreted, and client protections are implemented.

Foxholm Financial sponsors your choice of securities credential: the FINRA Securities Industry Essentials (SIE) exam or the Series 65 – Uniform Investment Adviser Law Exam, which qualifies you as an Investment Adviser Representative for future employers. We cover the full exam cost and offer guided study with 1:1 content review sessions. You decide which credential best fits your career path.

What You'll Do

• Conduct a mock compliance audit against state regulatory requirements
• Research SEC and state regulatory alerts and draft summary memos
• Study sample Privacy Policies and Regulation S-P requirements
• Explore Business Continuity Plan frameworks and best practices
• Study Form ADV Part 2A disclosure requirements
• Monitor regulatory news (SEC/State) and summarize impacts on small RIAs
• Study for and earn a securities credential (SIE or Series 65)

What You'll Get

• Credential Scholarship: Foxholm Financial pays for your FINRA Securities Industry Essentials (SIE) exam or the Series 65 – Uniform Investment Adviser Law Exam, which qualifies you as an Investment Adviser Representative for future employers
• Executive Mentorship: Weekly 1-on-1 with the firm President
• Reference Letter: Detailed, personalized letter listing specific compliance and regulatory skills and experiences
• Resume-Ready Experience: Mock compliance audits and policy analysis exercises
• CFP® Board Experience: Earn 120 hours toward your CFP® Standard Pathway experience requirement. We structure your projects (Data Analysis, Compliance Review) to meet the CFP Board's definition of "Indirect Support," giving you a head start on certification before you graduate.
• Access Person Status: Designation under SEC rules granting insider visibility into trading activity and compliance operations.

Requirements

• Current enrollment in a graduate program at a Georgia university (MBA, Master of Finance, or related)
• Ability to work independently in a remote environment
• Academic credit arrangement with your university

Ideal Programs: MBA, Master of Finance, Master of Economics, Master of Risk Management, Master of Accounting

Timeline

• May 1: Applications open
• June 15: Application deadline
• June 20 – July 2: Interviews (remote)
• July 15: Offers extended
• Aug 20 – Nov 20: Fellowship term

Application Materials

When applications open, candidates will submit:

• Resume (1 page) : highlight projects and relevant coursework
• Unofficial Transcript (PDF) : to verify credit hours, major, and course load
• Credit Eligibility : confirm you can receive academic credit for the fellowship at a Georgia university

More interested in data analytics and fintech? Check out the Quantitative Investment Fellow position. Or return to all fellowship opportunities.

This is an unpaid graduate fellowship for academic credit, structured in compliance with FLSA guidelines. Foxholm Financial is a state-registered Investment Adviser (RIA), not a broker-dealer.