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Investigative Extern, Enforcement (UNPAID) - Boca Raton, FL

Boca RatonFINRA

We Work to Protect Investors. Join our Team.
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for a Fall 2017 Investigative Externship in the Enforcement Department of our Boca Raton, FL office. This position is UNPAID and students must receive school credit to be eligible to participate. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

The Externship Program for the Department of Enforcement is designed for students who have an interest in securities law and regulation. The externs in this program will perform research, writing, investigative work and analysis as part of preliminary and formal investigations being conducted by FINRA. These investigations cover all areas of the securities industry including customer-initiated sales practice complaints, market manipulation, insider trading, member firm financial operations and trading violations.
Essential Job Functions:
  • Assist investigators and supervisors in the development of investigations and preliminary reviews including gathering, inputting and presentation of data, evidence and testimony; assist senior leaders with departmental investigative and administrative matters, as well as special projects.
  • Use FINRA and other available systems to collect trading and other data to be used in preliminary reviews and investigations. This will include use of CRD, Market Regulation systems, Bloomberg, Lexis/Nexis and the Internet among others.
  • Assist Enforcement staff with other aspects of the investigative process including participating in investigative interviews related to preliminary or formal investigative matters; input information into spreadsheets and databases and assist in the manipulation of the data and maintenance of the databases; assist with document and evidence analysis; and assist in the preparation of exhibits to investigative memos.
  • Draft memos summarizing analyses performed and information gathered.
  • Maintain investigative and other files; and perform necessary photocopying and other administrative duties, as needed.
  • Attend appropriate department training classes.

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