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Organization TypePublic Interest
Date Last Verified
ProfileGraduate/Undergraduate Intern - Member Regulation, ROOR Duties: Assist examiners in the examination of member firms, to determine compliance with SEC rules and regulations. Assist in the examination pre-planning process, which may include obtaining and analyzing firm records and data. Obtain a basic understanding of the rules governing assigned review areas and the records/documents associated with assigned reviews. Prepare exhibits and written summaries for assigned risk reviews. Navigate Systems utilized by examiners (e.g. Exam Workspace, eFocus, etc.), as directed. Assist examination staff in the accomplishment of various administrative tasks. Attend meetings with firms and prepare summaries.
Qualification and Experience
Qualifications: Working toward a Bachelor or Master degree with an emphasis in Finance, Accounting, Economics and/or Management Information Systems. 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: 006386. Send cover letter and current resume with transcript.
One Liberty Plaza
New York City, NY 10006