Legal Graduate Intern - Enforcement - Los Angeles, CABookmark This
Los Angeles, CA
DescriptionWe 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 a Legal Internship in our EnforcementDepartment in Los Angeles, CA. 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 careers site. 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:
- Legal and precedent research and writing memoranda using Lexis, other computer databases, NASD, NYSE and federal securities reports, hornbooks, and rule books.
- Assist Enforcement staff with various aspects of the investigative process including participating in investigative interviews related to preliminary or formal investigative matters; input information into spreadsheets and databases and assist in the manipulation of the data and maintenance of the databases; and assist with document and evidence analysis.
- Digest transcripts of testimony;
- Help staff prepare to take on-the-record testimony; attend on-the-record testimony, settlement conferences, contested hearings and press calls.
- Prepare staff for hearings and compile exhibits for hearings. Assigned a primary summer project, which has been pre-determined by the Department.
- Second or Third Year Law Student.
- Course work understanding of the securities industry and the Securities Exchange Act of 1934 preferred.
- 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 will need 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 career site, please typewww.finra.org/careersin 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.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,700 brokerage firms, about 167,000 branch offices and approximately 633,000 registered securities representatives.
FINRA 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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
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.
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
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