Job Title:

SEC Intern

Agency:

U.S. Securities and Exchange Commission (SEC)

Sub-Agency

N/A

Session:

Summer 2022

Format/Location:

Virtual

Hours Per Week:

40

Job Description:

Interns will:

• be assigned to work with staff members of various levels of experience and professional background with the goal to: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy for financial institutions registered with the SEC, such as investment companies and investment advisers.
• work effectively both independently and collaboratively as part of a team.
• assist the team with various stages of risk-based examination plans, which frequently involves: (i) analyzing a financial institution’s operations and procedures, sales practices, supervisory systems, books and records, and financial statements; (ii) reviewing investigatory complaints; (iii) investigating new financial products; (iv) examining specialized securities; and (v) drafting reports summarizing the findings.
• conduct individual assignments (e.g. background research) and communicate results both in written reports and verbally to the team.

Qualifications:

Interns should have a legal and/or financial background, including accounting and J.D. students.