SUMMER STUDENT Undergraduate/Graduate Intern - Member Regulation, Sales Practice - Dallas, TXBookmark This
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
We are seeking a well-qualified
individual for an Undergraduate/Graduate Intern in our Sales Practice,
Member Regulation Department in Dallas, TX. 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 obtain an understanding of FINRA
and how FINRA interrelates with the securities industry. This is an
introductory-level position in which incumbents are training for assigned
roles, training to learn job related skills, and working under direct
Essential Job Functions:
Learn how to gather information on member firms from
rules, regulations and guidelines, records, databases, SROs and
- Learn how to determine member firm regulatory
- Observe examination activity performed by more senior
- 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
- Access FINRA's system applications and records,
collecting and disseminating data/reports.
- Assist in preparing memoranda and reports regarding
- Collect, prepare and itemize exhibits for reports of
- Assist in collecting historical pricing data utilizing
market trade data and prepare FINRA's examination schedules.
- Participate in conferences or interviews with senior
- 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
- Provide ad hoc project/ministerial or technical
- Working toward a Bachelor degree with an emphasis in Finance, Accounting or Economics.
- Course work understanding of the securities industry and the Securities Exchange Act of 1934 preferred.
- 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