Job Details

Graduate/Undergraduate Intern, Member Regulation **

Company name

FINRA.

Organization Type

Public Interest

Job Type

Law Student

Location

New Orleans, LA

Date Last Verified

Jan 29,2018

Posted on

Jan 09,2018
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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

Qualifications: 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: 006372

Company info

Hiring Coordinator
FINRA.
1100 Poydras Street
Suite 850 , Energy Centre
New Orleans, LA 70163

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