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Graduate/Undergraduate Intern - Internal Audit - Rockville, MD

Expired Job

Financial Industry Regulatory Authority, Inc. Rockville , MD 20850

Posted 4 months ago

We Work to Protect Investors. Join our Team.
2019 Summer Internship Program

FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the professional and personal growth of our employees. We set the bar high we are looking for interns that are strong academically, can bring results, and are committed to exceeding expectations. We need you to represent the highest standards of personal integrity and organizational values. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, then consider an Internship with FINRA.

We are seeking a well-qualified individual for a Graduate/Undergraduate Intern in our Internal Audit (IA) Department in Rockville, MD. The Summer Internship Program runs from May 20, 2019 through August 9, 2019. Flexible start and end dates will be allowed based on school schedule. To be considered for this position, please submit your resume through our career site at No phone calls please.

Job Summary:

Work with IA TechnologyDirector and audit staff to enhance IA's Data Analytics Programcapabilities. Design and develop moreadvanced risk analytics, predictive models, etc., utilizing data collected byIA from a wide range of FINRA systems. Facilitate development and use of dataanalytics to effectively evaluate FINRA functions, in alignment with auditobjectives.

Maintain and enhance

Internal Audit management and workpaper systems (e.g., FINRA Audit ManagementInformation System [AMIS], audit workpaper databases [AutoWPS]). Perform joint system analysis with auditorsto develop specifications for audit software to accomplish audit objectives;develop, document and test audit software based on agreed upon specifications;integrate developed software into the overall Computer Assisted Audit Tools& Techniques (CAATTS) structure.

Essential Job Functions:

  • Work with IA Manageemnt, TechnologyDirector, and audit teams to understand business data requirements andtranslate them into analytics useable to IA:

  • Developsoftware tools to collect and analyze large volumes of structured and/orunstructured data.

  • Designand develop more advanced risk analytics, predictive models, etc., utilizingdata collected by IA from a wide range of FINRA systems.

  • Maintainand enhance IA's Continuous Audit Process (CAP) programs that facilitateidentification of exception situations based on pre-established parameters,allow for communication of potential exceptions to business and technology unitmanagement, and confirm exception resolution by IA staff. Examples include testing of Travel & Entertainmentexpenses, Market Regulation patterns, Technology back-up and recoveryprocedures, and Member Regulation examination status.

  • Work with the AuditTechnology Director, to perform IA system support, including:

  • Maintainand enhance IA's audit management system (AMIS) to help ensure acceptableavailability standards

  • Maintainand enhance IA's automated workpapers (AutoWPS) functionality

  • Developcomputer assisted audit tools and techniques (CAATTs) that query multiplecomplex systems throughout FINRA (e.g., PeopleSoft, CRD, STAR) in support of IAstaff in conducting internal audits. This will include use of advanced softwaretools to perform complex CAATTs to re-create, as appropriate, desiredproduction system results.

Education/Experience Requirements:

  • Working towards aBachelor's degree or Masters Degree in Computer Science, Information Systems, Data Science orrelated field (or equivalent work experience). Only candidates entering their third or fourth year of undergraduate studies or pursuing graduate studies will be considered.

  • Possess strong PC skillsincluding Word and Excel.

  • Demonstrate excellentteamwork and communication skills.

  • Strong workethic, positive attitude and professional demeanor.

  • Effectivecommunication, time management, and organizational skills.

  • Work experience in technology, a brokerage or investment environment isa plus.

  • Ability to work withothers to meet deadlines.

  • Ability to performmultiple tasks efficiently and accurately.

Working Conditions:

  • This position will be ina standard business office environment

  • Use of desktop PC is required.

  • Exciting, hands-on,challenging position and success-oriented work environment.

The information provided above has beendesigned to indicate the general nature and level of work of the position. It is not a comprehensive inventory of allduties, responsibilities and qualifications required.

To be considered for our Summer InternshipProgram, please submit the following to the Internship opportunity that is thebest match to your ambitions:

  • A cover letter (i.e. outlining your area of interest, whatyou hope to achieve through this program, what you can contribute to theorganization and your current GPA) and

  • Your current resume.

  • Note - A transcript isnot required with your initial resume submission, but those students selectedfor an interview may be required to submit a transcript at that time.

Please note: If the 'Apply Now' button on a jobboard posting does not take you directly to the FINRA Careers site, enter into your browser toreach our site directly.

FINRA strives to make our careersite accessible to all users. If you need a disability-related accommodationfor completing the application process, please contact FINRA's accommodationhelp line at 240.386.4865. Please note that this number is exclusively forinquiries regarding application accommodations.

In addition to a competitivesalary, comprehensive health and welfare benefits, and incentive compensation,FINRA offers immediate participation and vesting in a 401(k) plan with companymatch. You will also be eligible for participation in an additionalFINRA-funded retirement contribution, our tuition reimbursement program andmany other benefits. If you would like to contribute to our important missionand work collegially in a professional organization that values intelligence,integrity and initiative, consider a career with FINRA.

Important Information

FINRA's Code of Conduct imposesrestrictions on employees' investments and requires financial disclosures thatare uniquely related to our role as a securities regulator. FINRA employees arerequired to disclose to FINRA all brokerage accounts that they maintain, andthose in which they control trading or have a financial interest (including anytrust account of which they are a trustee or beneficiary and all accounts of aspouse, domestic partner or minor child who lives with the employee) and toauthorize their broker-dealers to provide FINRA with duplicate statements forall of those accounts. All of those accounts are subject to the

Code's investment andsecurities account restrictions, and new employees must complywith those investment restrictionsincluding disposing of any security issuedby a company on FINRA's Prohibited Company List or obtaining a written waiverfrom their Executive Vice Presidentby the date they begin employment withFINRA. Employees may only maintain securities accounts that must be disclosedto FINRA at one or more securities firms that provide an electronic feed(e-feed) of data to FINRA, and must move securities accounts from othersecurities firms to a firm that provides an e-feed within three months ofbeginning employment.

As standard practice, employeesmust also execute FINRA's Employee Confidentiality and Invention AssignmentAgreement without qualification or modification and comply with the company'spolicy on nepotism.


FINRA is an independent,non-governmental regulator for all securities firms doing business with thepublic in the United States. FINRA works to protect investors and maintainmarket integrity in a public-private partnership with the Securities and

Exchange Commission (SEC), while also benefiting from the SEC's oversight. Inits role as investor guardian, FINRA is informed, but not influenced, by theindustry that it regulates. FINRA's independent regulation plays a criticalrole in America's financial systemall at no cost to taxpayers.

FINRA touches virtually everyaspect of the securities businessfrom registering and educating industryparticipants to examining securities firms; writing rules; enforcing thoserules and the federal securities laws; informing and educating the investingpublic; providing trade reporting and other industry utilities; andadministering the largest dispute resolution forum for investors and registeredfirms. FINRA uses technology powerful enough to look across markets and detectpotential abuses. Using a variety of data gathering techniques, we work todetect insider trading and any strategies firms or individuals use to gain anunfair advantage.

In today's fast-paced and complexglobal economy, FINRA is a trusted advocate for investors, dedicated to keepingthe markets fair and proactively addressing emerging regulatory issues beforethey harm investors or the markets. FINRA operates from Washington, DC, and NewYork, NY, with other offices around the country.

Find out more about us and how weworkand view our current openingsat

Search Firm Representatives

Please be advised that FINRA is notseeking assistance or accepting unsolicited resumes from search firms for thisemployment opportunity. Regardless of past practice, a valid written agreementand task order must be in place before any resumes are submitted to FINRA. Allresumes submitted by search firms to any employee at FINRA without a validwritten agreement and task order in place will be deemed the sole property ofFINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and

Affirmative Action Employer

All qualified applicants willreceive consideration for employment without regard to age, citizenship status,color, disability, marital status, national origin, race, religion, sex, sexualorientation, gender identity, veteran status or any other classificationprotected by federal state or local laws as appropriate, or upon the protectedstatus of the person's relatives, friends or associates.

FINRA abides by the requirementsof 41 CFR 60-741.5(a). Thisregulation prohibits discrimination against qualified individuals on the basisof disability, and requires affirmative action by covered prime contractors andsubcontractors to employ and advance in employment qualified individuals withdisabilities.

FINRA abides by the requirementsof 41 CFR 60-300.5(a). Thisregulation prohibits discrimination against qualified protected veterans, andrequires affirmative action by covered prime contractors and subcontractors toemploy and advance in employment qualified protected veterans.
2018 FINRA. All rights reserved.FINRA is a registered trademark of the Financial Industry Regulatory Authority,Inc.

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Graduate/Undergraduate Intern - Internal Audit - Rockville, MD

Expired Job

Financial Industry Regulatory Authority, Inc.