what were your RESPONSIBILITIES as an intern?

As an intern in FINRA's National Cause and Financial Crimes Surveillance group, I supported the front end of the investigative pipeline. I monitored more than 25 news sources for emerging risk in areas ranging from prediction markets to pre-IPO products, and co-authored surveillance briefs translating those trends into patterns relevant to active review. That same lens carried into casework, where I independently assessed more than 100 preliminary matters of broker-dealer conduct involving churning, impersonation, and undisclosed outside business activity. For each, I applied FINRA rules and jurisdictional guidelines to evaluate potential violations and determine disposition, closing matters that did not warrant escalation and routing those that did to senior investigators.

What was your favorite/most memorable part of your internship

My favorite part was the travel opportunity to Washington D.C. to meet other interns across the country and interact with the CROO. Made so many friends from different universities and states.

Walk us through a day in the life of your internship?

Get to the office at 8AM, chat with my other interns, 1:1 with my manager, check emails, check news, do a news cover where I would go over all news that mention the SEC and FINRA to see if there's anything that needs to be investigated, daily reports on suspicious activity, calls with the team, calls with the crypto team, calls to firms that may have submitted questionable information, finalize matters, and clock out at 5:30PM.