Job Description:

We Work to Protect Investors. Join our Team.

FINRA is dedicated to providing you with an externship 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 externs 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 Externship with FINRA.

We are seeking a well-qualified individual for our Undergraduate Externship in our National Cause Program. 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 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 and registered representative regulatory compliance. 


• Observe investigation 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 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.


• Participate in conferences or interviews with senior examiners. 


• Provide ad hoc project/ministerial or technical support.

Term of Position:

• 
  Summer: May - July/August

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 externship 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.

Work Conditions:

• Work is normally performed in an office environment.


• Use of desktop PC is required

Summer externs must be able to work at least 35 hours per week. Externs must earn current course credits (determined by school) and cannot work purely as a volunteer.  FINRA requires at least one credit.

To be considered for this position, please submit an application.

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.

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.

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

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 maintain, 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 restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—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 firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

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.

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

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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