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Graduate Summer Intern - Legal amp Policy - Rockville MD

Company name

Rockville, MD

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Job Description:

We Work to Protect Investors. Join our Team.

2018 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 who 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 Internship

in our Legal and Policy Department


in Rockville, MD

. The Summer Internship Program runs from May 21, 2018 through August 10, 2018

. To be considered for this position, please submit your resume through our career site at

. No phone calls please.

Job Summary:

Assist attorneys in the department with legal and policy issues regarding the licensing, registration and regulation of broker-dealer firms and their associated persons.

Essential Job Functions:

Perform legal research and draft legal and policy memoranda regarding the licensing, registration, and regulation of broker-dealer firms and their associated persons using state and federal securities laws (with an emphasis on the Securities Exchange Act of 1934 and state law counterparts) and FINRA By-Laws and rules.

Draft policy memoranda on matters relating to registration and disclosure through the Central Registration Depository (CRD®), as well as correspondence in response to inquiries about policy and operational issues involving the CRD system and FINRA BrokerCheck®.

Conduct research and analysis in the following areas: statutory disqualification, reporting requirements under the uniform registration forms, broker-dealer names, record retention requirements, expungement of criminal and other records, and comparative research on issues concerning other financial regulators and enforcement authorities.

Work on special projects that arise during the internship.

Education/Experience Requirements:

Law student with completion of at least one year of law school.

Work experience in a financial, brokerage or investment environment, or law school course work in securities is a plus but not required.

Ability to perform multiple tasks efficiently, accurately, and within given deadlines.

Strong work ethic, positive attitude, ability to work with others, and professional demeanor.

Experience with Lexis-Nexis preferred.

Working Conditions:

Work is normally performed in an office environment.

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

Your current resume.

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

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 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.

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.


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 system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—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. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

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 operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work—and view our current openings—at

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.

©2018 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Company info

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Company Profile
Arbitration and mediation are two distinct ways of resolving securities and employment disputes between and among investors, brokerage firms and individual brokers, and offer a prompt and inexpensive way of resolving issues. Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one if its brokers. To be considered, the alleged act resulting in a claim must have taken place within the past six years.

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