Job Details

Law Student - Public Interest in Boca Raton, FL **

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Company name

FINRA.

Organization Type

Public Interest

Job Type

Law Student

Location

USA Boca Raton, FL

Date Last Verified

Mar 12,2018

Posted on

Jan 09,2018

24 hits

Profile

Graduate/Undergraduate Intern, Member Regulation Duties: Achieve an understanding and working knowledge of role and responsibilities in the securities industry with exposure to customer complaints, routine examinations, and the new member application process. Learn how to gather information on member firms from rules, systems, firm records, databases, and regulatory agencies. Learn how to determine member firm regulatory compliance. Observe examination activity performed by more senior staff. Assist in reviewing and analyzing customer complaints and termination for cause investigations. Assist with reviewing, analyzing, and comparing documents and information on firm financials, policies, procedures, and sales practices for compliance with securities industry rules, regulations and guidelines. Access system applications and records, collecting and disseminating data/reports. Assist in preparing memoranda and reports regarding investigations. Collect, prepare and itemize exhibits for reports of investigations. Assist in collecting historical pricing data utilizing market trade data and prepare examination schedules. Participate in conferences or interviews with senior examiners.

Qualification and Experience

Requirements: The candidate will be majoring in Finance, Accounting, Business Administration, Technology, or pursuing a Master’s Degree or JD Degree. Only candidates entering their third or fourth year of undergraduate studies or pursuing graduate studies will be considered. 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.

Additional info

Job Number: 006371. Send cover letter (i.e. outlining area of interest, what hope to achieve through this program, what can contribute to the organization and current GPA) and current resume.

Company info

Hiring Coordinator
FINRA.
Boca Center Tower 1
5200 Town Center Circle
Boca Raton, FL 33486