finra

Intern Testimonial - Katherine Lembeck

2012 Summer Intern


While attending Franklin & Marshall College, I contemplated the idea of either working in finance or pursuing a career in corporate law after graduating. An internship at FINRA appealed to me because it offered a blend of my two interests and the opportunity to learn the value of financial regulation.

 

As an intern, I was offered many challenging and rewarding assignments. I assisted with the review and analysis of firm documents, including email correspondence, supervisory procedures, trade blotters, outside business activity reports and account statements. In addition, I traveled to member firms to assist FINRA examiners with their work. My internship prepared me for my full-time examiner position at FINRA. I became familiar with current compliance rules and regulations, techniques used when conducting examinations and the overall examination process.

 

FINRA's culture is unique in that it is both welcoming and motivating - there are a great number of talented employees with much to offer from their own industry experiences. I received guidance and encouragement from my department every step of the way and I felt that I was making valuable contributions to the organization.

 

By the end of my internship, I knew that I wanted a career with FINRA after I graduated. I believe my thoroughness and efficiency in the completion of my assignments was recognized by my supervisors and contributed to my being hired full time. To get the most out of the experience, I advise future interns to sit in on as many meetings as you can, ask a ton of questions, network with other employees and deliver high quality work. In an effort to learn as much as possible from my experience at FINRA, I regularly asked questions and approached new situations with confidence.

 

Katherine Lembeck is an Associate Examiner, Sales Practice, District Office - NY. She interned in Sales Practice in the summer of 2012 and was hired in May 2013.

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