Summer internship role in financial sector focusing on investigative processes and regulatory compliance. Collaborate with investigators and managers in performing analytical tasks related to Financial Crimes.
Responsibilities
Assisting investigators and managers with the investigative processes
Analysis of surveillance alerts, trade data and other evidence obtained in connection with Financial Crimes investigations
Learning how to determine member firm regulatory compliance
Assisting in reviewing and analyzing customer complaints and investigations
Assisting with reviewing, analyzing, and comparing documents and information on firm finances, policies, procedures, practices, and products to security industry rules, regulations and guidelines
Assisting in preparing memoranda and reports regarding investigations
Collecting, preparing and itemizing exhibits for reports of investigations
Assisting in collecting historical pricing data utilizing market trade data and prepare FINRA's examination schedules
Performing research on various matters
Requirements
Enrollment in the final two years of degree program in Finance, Accounting, Business Administration or related program
Work experience in a financial, brokerage or investment environment is a plus
Strong work ethic, positive attitude and professional demeanor
Ability to work with others to meet deadlines
Proficiency in Microsoft Office
Ability to perform multiple tasks efficiently and accurately
Benefits
Health insurance
401(k) plan with company match
Tuition reimbursement
Commuter benefits
Paid time off (15 days)
Personal days (5 days)
Sick days (9 days)
Volunteer service days (2 days)
Comprehensive wellness programs
Immediate participation in additional FINRA-funded retirement contribution
Job title
Undergraduate Intern – Finance, Accounting, Business
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