Summer 2024 Undergraduate Intern - Member Supervision

FINRA

Oct 18, 2023

Applications are closed

Internship
Full-time
Summer Internship
Business, Operations & Strategy
Banking & Finance
San Francisco, +6

Requirements

Education/Experience:
Enrollment in the final two years of degree program in Finance, Accounting, Business Administration or related program
Work experience in a financial, brokerage or investment environment is a plus.
Strong work ethic, positive attitude and professional demeanor.
Ability to work with others to meet deadlines.
Proficiency in Microsoft Office.
Ability to perform multiple tasks efficiently and accurately.

Responsibilities

Possible activities and responsibilities include:
Assisting investigators and managers with the investigative processes,
Analysis of surveillance alerts, trade data and other evidence obtained in connection with Financial Crimes investigations.
Learning how to determine member firm regulatory compliance.
Assisting in reviewing and analyzing customer complaints and investigations.
Assisting with reviewing, analyzing, and comparing documents and information on firm finances, policies, procedures, practices, and products to security industry rules, regulations and guidelines.
Assisting in preparing memoranda and reports regarding investigations.
Collecting, preparing and itemizing exhibits for reports of investigations.
Assisting in collecting historical pricing data utilizing market trade data and prepare FINRA's examination schedules.
Performing research on various matters

FINRA

Financial Industry Regulatory Authority

Finance

Industry

1001-5000

Employees

2007

Founded Year

Mission & Purpose

FINRA is dedicated to investor protection and market integrity. Our team of highly trained professionals are passionate about protecting investors and ensuring financial markets remain fair by writing and enforcing the critical rules and regulations that govern more than 3,700 firms and 630,000 brokers across the country. Our ultimate goal is to foster robust, but fair and orderly, markets in which America’s 90 million investors can feel confident. With more than 3,500 employees nationwide, FINRA is committed to a diverse, high-performance workplace. We recognize that it’s the hard work, passion and dedication of our team that makes FINRA the strong, successful organization it is. That’s why we offer a competitive compensation, benefits and services package. And at FINRA, we offer more than just a job; we provide employees with the learning and educational tools needed to enhance their knowledge, talents and abilities—whether it’s an online course to enhance productivity or a seminar to maximize leadership skills. At FINRA, we believe your work can be your passion.