Intern – Investments

Job Description

General Description of Position

The Intern – Investments works inside the Investments department, shadowing and learning skills necessary for basic knowledge of the securities industry. The internship focuses on learning industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices. This internship provides the knowledge and skills necessary to pass the Securities Industry Essentials (SIE) Examination/Insurance for July 2026.

Essential Duties and Responsibilities

• Create an understanding of the Securities and Exchange Commission (SEC) and the jurisdiction and authority of Self-regulatory Organizations (e.g., CBOE, FINRA, MSRB).
• Shadow and learn about types of markets, market participants, and their roles.
• Learn the economic factors, including The Federal Reserve Board’s impact on business activity and market stability, business economic factors, and international economic factors.
• Shadow and create an understanding of the roles of participants, types of offerings, shelf registrations and distributions, types and purpose of offering documents and delivery requirements, regulatory filing requirements, and exemptions.
• Create an understanding of various Products and their associated risks.
• Create an understanding of Trading, Customer Accounts, and Prohibited Activities.
• Learn an overview of the Regulatory Framework, SRO Regulatory Requirements for Associated Persons, Registration and Continuing Education, Employee Conduct, and Reportable Events.
• Create a knowledge base of FINRA Rules, CBOE Rules, MSRB Rules, SEC Rules and Regulations, Federal Trade Commission, Federal Reserve Board, USA Patriot Act, and the Insider Trading and Securities Fraud Enforcement Act of 1988.
• Complete required BSA/AML training and other compliance training as assigned.
• Maintain the ability to work in a constant state of alertness and in a safe manner.
• Perform any other related duties as required or assigned.

Qualifications

To perform this job successfully, an individual must be able to perform each essential duty mentioned satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

Education and Experience

High school or GED equivalent, plus specialized schooling and/or on-the-job education in a specific skill area (e.g., data processing, clerical/administrative, equipment operation, etc.), plus 0 – 6 months related experience and/or training or an equivalent combination of education and experience.

Communication Skills

• Ability to read a limited number of words and recognize similarities and differences between words and between series of numbers.
• Ability to write and speak simple sentences as a means for basic communication.
• Ability to read and understand simple instructions, short correspondence, notes, letters, and memos.
• Ability to write simple correspondence.
• Ability to read and understand documents such as policy manuals, safety rules, operating and maintenance instructions, and procedure manuals.
• Ability to write routine reports and correspondence.

Mathematical Skills

Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume. Ability to apply concepts such as fractions, ratios, and proportions to practical situations.

Critical Thinking Skills

Ability to use common sense understanding in order to carry out detailed written or oral instructions. Ability to deal with problems involving a few known variables in situations of a routine nature.

Required Certificates, Licenses, Registrations

Not indicated.

Preferred Certificates, Licenses, Registrations

Not indicated.

Software Skills Required

• Intermediate: Presentation/PowerPoint, Spreadsheet, Word Processing/Typing, Other
• Basic: Accounting, Alphanumeric Data Entry

Working Conditions

Periodically exposed to such elements as noise, intermittent standing, walking, pushing, carrying, or lifting; but none are present to the extent of being disagreeable.

Environmental Conditions

The following work environmental characteristics described here are of those an employee encounters while performing essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level in the work environment is usually moderate.

Physical Activities

The following physical activities described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions and expectations.

High diversity, low physical. Work activities which allow for a considerable amount of diversity as an incumbent performs a variety of tasks. Such tasks might be performed from a given work area, or the individual may move about physically in performing a variety of duties.

While performing the functions of this job, the employee is regularly required to sit, talk or hear; occasionally required to stand, walk, or reach with hands and arms. The employee must occasionally lift and/or move up to 10 pounds. Specific vision abilities required by this job include close vision and color vision.

Additional Information

Required Proficiencies:

• Strong communication skills
• Strong attention to detail
• Ability to work in a team environment and get along well with others
• Ability to prioritize workflow and manage projects

EOE M/F/V/D