FINRA Undergraduate/Graduate Intern, Member Regulation - Boca Raton, FLBookmark This
Boca Raton, FL
We Work to Protect Investors. Join our Team.
2014 Summer Internship Program
FINRA is dedicated to providing you an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the professional and personal growth of our employees. We set the bar high - we are looking for interns that are strong academically, can bring results, and are committed to exceeding expectations, we need you to represent the highest standards of personal integrity and organizational values. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, then consider an Internship with FINRA.
We are seeking a well-qualified individual for an Undergraduate or Graduate Internship in our Member Regulation Department in Boca Raton, FL. The Summer Internship Program runs from May 19, 2014 through August 8, 2014. To be considered for this position, please submit your resume through our career site at www.finra.org/careers. No phone calls, please.
To provide an individual with the opportunity to learn the training function and skills in developing, delivering and maintaining technical training for FINRA examination and investigative staff on rules and regulations in which brokerage firms and registered securities representatives must comply with.
Essential Job Functions:
- Learn how to gather information on member firms from rules, regulations guidelines, records, databases, SROs and regulatory agencies.
- Learn how to determine member firm regulatory compliance. Observe examination activity performed by more senior staff.
- Assist in reviewing and analyzing customer complaints and termination for cause investigations.
- Assist with reviewing, analyzing, and comparing documents and information on firm finances, policies, procedures, practices, and products to security industry rules, regulations and guidelines.
- Access FINRA's system applications and records, collecting and disseminating data/reports. Assist in preparing memoranda and reports regarding investigations.
- Collect, prepare and itemize exhibits for reports of investigations. Assist in collecting historical pricing data utilizing market trade data and prepare FINRA's examination schedules.
- Participate in conferences or interviews with senior examiners.
- Achieve an understanding and working knowledge of FINRA's role and responsibilities in the securities industry with exposure to customer complaints, routine examinations, and the new member application process.
- The ideal candidate will be majoring in Finance, Accounting, Business Administration, Technology, or pursuing a Master's Degree or J.D.
- Only candidates entering their third or fourth year of undergraduate studies or pursuing graduate studies will be considered. Some internship positions may require law students to be entering their final year of study.
- Work experience in a financial, brokerage or investment environment is a plus.
- Strong work ethic, positive attitude and professional demeanor.
- Effective communication, time management, and organizational skills.
- Ability to work with others to meet deadlines.
- Ability to perform multiple tasks efficiently and accurately.
- Work is normally performed in an office environment.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
To be considered for our Summer Internship Program, please submit the following to the Internship opportunity that is the best match to your ambitions:
- A cover letter (i.e. outlining your area of interest, what you hope to achieve through this program, what you can contribute to the organization and your current GPA) and
- Your current resume.
- Note - A transcript is not required with your initial resume submission, but those students selected for an interview may be required to submit a transcript at that time.
Please note: If the ‘Apply Now’ button on a job board posting does not take you directly to the FINRA Careers site, enterwww.finra.org/careersinto your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’sinvestment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
The Financial Industry Regulatory Authority (FINRA) is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
FINRA’s independent regulation plays a critical role in America’s financial system and touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
All told, FINRA oversees more than 4,100 brokerage firms, more than 160,000 branch offices and almost 636,000 registered securities representatives. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE MKT, The NASDAQ Stock Market and the EDGA and EDGX Exchanges.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
FINRA has approximately 3,400 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
Find out more about us and how we work—and view our current openings—at www.finra.org/careers.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
FINRA abides by the requirements of41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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