I searched the risk management opportunity on the LinkedIn website. I directly apply for this internship position and passed three interviews.
In my role. I:
• Assist in gathering regulatory intelligence using internal FINRA systems.
• Assist with analyzing member firms’ financial, operational, and business conduct practices for compliance with industry regulations and rules.
• Assist in analyzing internal and external data to assess inherent risks of member firms and develop regulatory responses to address risk areas.
• Assist in monitoring (including coordination with specialists) of member firms with respect to identified and emerging risks.
• Participate in discussions with senior risk monitoring analysts and supervisors regarding identified and emerging risks of member firms.
