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Undergraduate Intern - Member Regulation, Sales Practice - Philadelphia, PA

Expired Job

Financial Industry Regulatory Authority, Inc. Philadelphia , PA 19107

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 an Undergraduate Intern in our Member Regulation, Sales Practice Department in Philadelphia, PA. 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:

To obtain an understanding of FINRA and how FINRA regulates with the securities industry. This is an introductory-level position in which incumbents are training for assigned roles, training to learn job related skills, and working under direct supervision.

Essential Job Functions:

  • Learn how to gather information on member firms from rules,regulations guidelines, records, databases, SROs and regulatory agencies.

  • Learn how to determine member firm regulatorycompliance.

  • Observe examination activity performed by more seniorstaff.

  • Assist in reviewing and analyzing customer complaints andtermination for cause investigations.

  • Assist with reviewing, analyzing, and comparing documentsand information on firm policies, procedures, practices, and productsto security industry rules, regulations and guidelines.

  • Access FINRA's system applications and records, collectingand disseminating data/reports.

  • Assist in preparing memoranda and reports regardinginvestigations.

  • Collect, prepare and itemize exhibits for reports ofinvestigations.

  • Assist in collecting historical pricing data utilizingmarket trade data and prepare FINRA's examination schedules.

  • Participate in conferences or interviews with seniorexaminers.

  • Achieve an understanding and working knowledge of FINRA'srole and responsibilities in the securities industry with exposure to customercomplaints, routine examinations, and the new member application process.

  • Provide ad hoc project/ministerial or technical support.

Education/Experience Requirements:

  • The ideal candidate willbe majoring in Finance, Accounting, or Business Administration.

  • Only candidates enteringtheir third or fourth year of undergraduate studies will be considered.

  • Work experience in afinancial, 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 withothers to meet deadlines.

  • Ability to performmultiple tasks efficiently and accurately.

Working Conditions:

  • Work is normally performed in an office environment.

  • Use of desktop PC is required.

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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Undergraduate Intern - Member Regulation, Sales Practice - Philadelphia, PA

Expired Job

Financial Industry Regulatory Authority, Inc.