State Securities Compliance & Investigations Intern
Southern Arkansas University · Meriden, Connecticut, USA
- Internship
About the role
Role
The State Intern will receive training in the Securities and Business Investments Division.
Key Responsibilities
You can expect to:
- Receive training in enforcement investigations, including reviewing and analyzing financial and business records.
- Receive training in the licensing process by reviewing applications and reports filed by broker-dealer and investment adviser registrants to determine compliance with financial reporting and other statutory requirements.
- Receive training in the creation of examination memos and documentation of an exam.
- Receive training in emerging technologies and cybersecurity.
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