Graduate/Undergraduate Intern - Member Regulation, Sales Practice - New York, NY
Location: New York New York
Description: Finra is currently interviewing Graduate/Undergraduate Intern - Member Regulation, Sales Practice - New York, NY right now, this vacancy will be placed in New York. More complete informations about this vacancy opportunity kindly see the descriptions. We Work to Protect Investors. Join our Team.
2014 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 â€" we are looking for interns that are strong academically, can bring results, and are committed t! o 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 Internship
in our
Member Regulation, Sales Practice
Department in
New York, NY
. The Summer Internship Program runs from
May 19, 2014 through August 8, 2014
. To be considered for this position, please submit your resume through our career site at
www.finra.org/careers
. No phone calls please.
Job Summary:
To obtain an understanding of FINRA and how
FINRA interrelates with the securities industry. This is an introductory-level
position in which incumbents are training for assigned roles, training to learn
job related s! kills, 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 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
FINRA's 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.
Assi! st
in collecting historical pricing data utilizing market trade dat! a and prepare
FINRA's examination schedules.
Participate
in conferences or interviews with senior examiners.
Achieve
an understanding and working knowledge of FINRA's 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.
Qualifications
Education/Experience Requirements:
The ideal candidate will be majoring in Finance,
Accounting, Business Administration, or pursuing a Master’s Degree or J.D.
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 wor! k 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.
Working Conditions:
Work
is normally performed in an office environment. Use of desktop PC is required
The information provided above has been designed to indicate the general nature and level of work of the position.
It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
To be considered for our Summer Internship Program, please submit the following to the Internship opportunity that is the best match to your ambitions:
A cover letter (i.e.
outlining your area of interest, what you hope to achieve through this program,
what you can contribute to the organization and your current GPA) and
Note - A transcript
is not required! with your initial resume submission, but those students
selected for an interview may be required to submit a transcript at that time.
Please note: If the ‘Apply Now’ button on a job board posting does not take you directly to the FINRA Careers site, enter
www.finra.org/careers
into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Important Information
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they m! aintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s
investment and securities account restrictions
, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"
by the date they begin employment with FINRA
. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities f! irms to a firm that provides an e-feed within three months of beginning! employment.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial systemâ€"all at no cost to taxpayers.
FINRA’s independent regulation plays a critical role in America’s financial system and touches virtually every aspe! ct of the securities businessâ€"from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
FINRA has approximately 3,000 employees and operates from Washing! ton, DC, and New York, NY, with 20 regional offices around the country.
Find out more about us and how we workâ€"and view our current openingsâ€"at
www.finra.org/careers
.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
- .
If you were eligible to th! is vacancy, please email us your resume, with salary requirements and a resume to Finra.
If you interested on this vacancy just click on the Apply button, you will be redirected to the official website
This vacancy starts available on: Thu, 12 Dec 2013 18:25:03 GMT
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