Job Details

Graduate/Undergraduate Intern - Member Regulation Sales Practice **

Company name

FINRA.

Organization Type

Public Interest

Job Type

Law Student

Location

Kansas City, MO

Date Last Verified

Jan 29,2018

Posted on

Jan 09,2018
Apply for this job
 
Your Email:
Upload Resume:

 
5 hits

Profile

Graduate/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

Requirements: Working toward a Bachelor or Master degree with an emphasis in Finance, Accounting or Economics. Course work related to and/or an 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, writing and organizational skills. Ability to work with others to meet deadlines. Ability to perform multiple tasks efficiently and accurately.

Additional info

Job Number: 006357

Company info

Hiring Coordinator
FINRA.
12 Wyandotte Plaza
120 West 12th Street , Suite 900
Kansas City, MO 64105

Similar Jobs:

Legal Clerkship Duties: Under the supervision of Aid staff attorneys, will participate in case work in one or more areas of civil practice. May include conducting client interviews, making initial case assessments, obtaining disc...
Legal Clerkship Duties: Under the supervision of Aid staff attorneys, will participate in case work in one or more areas of civil practice. May include conducting client interviews, making initial case assessments, obtaining disc...
Law Student Internships Interns will be assigned cases to manage and move forward under supervision of company’s legal staff. While interns will assist in all aspects of litigation, including fact development, legal research, d...