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Organization TypePublic Interest
Date Last Verified
Graduate/Undergraduate Intern - Member Regulation, Sales Practice Duties: Learn how to gather information on member firms from rules, regulations guidelines, records, databases, SROs 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 finances, policies, procedures, practices, and products to security 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. 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. Provide ad hoc project/ministerial or technical support.
Qualification and Experience
Requirements: Majoring in Finance, Accounting, Business Administration, 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. 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: 006383. Send cover letter (i.e. outlining area of interest, what to achieve through this program, what can contribute to the organization and current GPA) and current resume.
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