Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Organization TypePublic Interest
Date Last Verified
ProfileGraduate/Undergraduate Intern - Member Regulation Sales Practice Duties: Assist examiners in preparing for examinations of member firms and analyze relevant data provided by member firms to ensure compliance with SEC rules and regulations. Conduct research related to registered representatives’ activities, other businesses, financial background, etc. Perform analysis of large amounts of data through work within Excel to determine potential sales practice concerns. Conduct risk reviews of member firms and registered representatives in conjunction with regulatory programs. Special projects as needed.
Qualification and Experience
Qualifications: Working toward a Bachelor or Master degree with an emphasis in Finance, Accounting or Economics. Course work understanding of the securities industry and the Securities Exchange Act of 1934 preferred. Only candidates entering their third or fourth year of undergraduate studies or pursuing graduate studies will be considered. Some internship positions may require law students to be entering their final year of study. 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.
Job Number: 006356
10 S La Salle Street
Chicago, IL 60603-1000