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The Financial Industry Regulatory Authority (FINRA) seeks a well-qualified Extern for the Spring 2013 semester. The purpose is 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. Students must receive credit to be eligible to participate in the Externship program.

The Externship Program is NON-PAID but allows students to earn school credit for their work. Students must receive school credit to be eligible to participate in the Externship Program.

Must be able to work at least 15 hrs. per week for Summer/Fall term.

Job Summary:

Ombudsman externs assist staff in reviewing issues raised by firms and their employees, public investors or any business or individual that voices concerns about operations, enforcement or other FINRA activities. Externs perform a variety of tasks including research, analyses and writing, document review, preparation for interviews, contributing to case responses, as well as providing assistance in developing reports to other FINRA Business areas

Essential Job Functions:

• Externs in a legal course of study may be assigned research and analysis focused on securities industry rules and procedures.
• Externs in a Business course of study may be assigned research and analysis focused on historical Ombudsman case trends, as well as current industry practices.
• Externs in a Dispute Resolution course of study may be assigned research and analysis pertaining to cases where Dispute Resolution knowledge is valued.

Education/Experience Requirements:

• Knowledge of securities regulation and/or Alternative Dispute Resolution preferred, but not required.
• Securities industry experience is a plus.
• Demonstrated ability to perform detailed analyses is required.
• Must be able to work at least 15 hrs. Per week for Spring/Fall term.
• The applicant must demonstrate knowledge of and have an interest in conflict resolution.
• Knowledge of the Ombudsman role and Alternative Dispute Resolution programs helpful.
• The applicants must be earning course credits for the externship, and cannot work purely as a volunteer. The number of credit hours earned is determined by your school.

Working Conditions:

• Standard business office environment.
• Use of desktop PC is required.
• Work in a standard business 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.

Application Process: Applicants must apply through the Ombudsman extern posting on http://www.finra.org/AboutFINRA/Careers/index.htm . The cover letter should explain why the applicant is interested in the externship and the qualifications that make him/her an appropriate candidate. A list of references and a writing sample will also be required at the interview stage.

All successful applicants will be required to pass a drug screening test and a background check prior to starting work.

Contact Persons: ombuds@finra.org

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.

Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and 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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

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.

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

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