The Financial Industry Regulatory Authority (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 public-private partnership with 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.
Description of Student Work:
FINRA is seeking well-qualified individuals for their Graduate Legal Externship with our Enforcement Department in Atlanta, Georgia. The Externship Program for the Department of Enforcement is designed for students who have an interest in securities law and regulation. The Extern will assist attorneys and investigative staff to investigate and initiate enforcement actions against FINRA regulated firms and associated individuals (typically stockbrokers). Externs perform a variety of tasks including legal research and writing, document review, as well as assisting staff to prepare for investigative testimony and hearings. Opportunities to observe on-the-record interviews and settlement negotiations are made available to Externs.
2L’s, 3L’s & students eligible for 3rd year practice act.
Course and Other Requirements:
- Graduate student pursuing JD or LLM. Must receive school credit to be eligible for the Externship program.
- Securities law-related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred.
- Securities industry experience is a plus.
- Strong writing, analysis and research skills
- 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
Summer Term: May to August
Fall Term: September to November/December
Spring Term: January to April
FINRA considers applications on a rolling basis and do not have a strict deadline for applications. Applications will only be considered for the upcoming term.
To apply visit: www.finra.org/careers.
Ms. Jennifer Borlaza, HR Associate
3490 Piedmont Road, NE
Atlanta, Georgia 30305