About The Position
FINRA is dedicated to providing you with 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.. 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. 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 Other Responsibilities
Requirements
- Enrollment in the final two years of degree program in Finance, Accounting, Business Administration or related program
- 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.
Nice To Haves
- Work experience in a financial, brokerage or investment environment is a plus.
Responsibilities
- 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
Benefits
- Employees may be eligible for a discretionary bonus in addition to base pay.
- Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
- FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
- FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
- Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
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What This Job Offers
Career Level
Intern
Education Level
No Education Listed
Number of Employees
1,001-5,000 employees
