Financial and Regulatory Surveillance Department - Examiner Internship - Summer 2026
About The Position
The Financial and Regulatory Surveillance Department monitors the capital requirements of clearing members based on the risk associated with the positions of each clearing member. We also continuously assess clearing members’ internal controls, risk management policies, and back-office operations to identify potential issues and promote resilience. We are looking for an enthusiastic summer intern to participate in examinations of clearing member firms. Our summer intern will expand their knowledge of accounting and auditing concepts by participating in examinations of clearing member firms to ensure compliance with industry regulations.
Requirements
- Pursuing a BS in Accounting or Finance or a Masters in Accounting
- Targeted graduation date December 2026 or Summer of 2027
- Minimum overall GPA 3.00
- Proficiency in Excel
- Ability to multi-task, prioritize and possess strong organizational skills
- Currently pursuing a Bachelor’s or Master's degree
- Hybrid and local to Chicago
- Summer 2026
- 40 hours a week
- Please note that our company is unable to provide employment sponsorship for this position and can only consider candidates who are legally authorized to work in the United States without sponsorship assistance (CPT, H1B, F1, L etc.).
Responsibilities
- Responsible for completing assigned compliance and financial programs including bank statement, safekeeping, carrying broker, clearing organization and equity system analysis.
- Perform detailed examination, testing and documentation of assigned areas.
- Identify examination issues and problems, document findings in a clear and concise manner and communicate findings and recommendations to the clearing member firm.
- Learn firm’s reconciliation process, understand equity system documents, analyze third party documents.
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What This Job Offers
Job Type
Full-time
Career Level
Intern
Number of Employees
1,001-5,000 employees
