Member Supervision
College of Examinations Program
The College of Examinations is an elite summer training program returning this July. A group of entry-level examiners will start their careers in Member Supervision’s Firm Examination program through a multi-week training and networking extravaganza.
The College of Examinations program includes both onsite and virtual training sessions on various aspects of the industry, the FINRA examination program and related areas of Member Supervision. Participants can expect to have a blended learning experience while enjoying guest speakers and exciting opportunities for team building.
The College of Examinations class will start in the remote or local office environment. From there, participants will travel to FINRA's New York City office for two weeks of in-person training. The new hires will then transition to a hybrid of working with their examination teams and participating in continued training and programming opportunities.
Securities Industry Essentials® (SIE®) Examination materials will be integrated into the program. Participants will be provided with SIE preparation materials, study time, and resources through the College of Examinations program.
In addition to gaining fundamental industry knowledge, participants will learn about:
- FINRA’s role in protecting investors and safeguarding market integrity
- FINRA’s organization, its departments, and its approach to risk-based regulation
- Professionalism in their roles at FINRA
- The roles of various FINRA departments and how they collaborate
- Technical skills around firm business lines, products and the potential risk they pose to investors
- Crucial FINRA and SEC Rules
- The firm examination process
PAL Program
The PAL (“Personal Acclimation Lead”) Program is the mentorship program for new hires in Member Supervision. Once you are hired within Member Supervision, you will be assigned a PAL to help you become integrated into FINRA's culture, your new role, and support you through the first six months at FINRA.
Enforcement
The Honors Program
FINRA Enforcement launched our Honors Program—a two-year rotational program open to recent law school graduates and attorneys concluding clerkships. These full-time positions, made available in any FINRA location, offer the opportunity to do sophisticated legal work to protect investors and the financial markets.
Enforcement launched the Honors Program to hire exceptional recent law school graduates who share our passion for FINRA’s mission of investor protection and market integrity. Honors Associates will:
- develop specialized knowledge of the financial industry and securities laws;
- gain substantive legal experience in investigating, litigating, writing, and other legal skills;
- work closely with attorney and investigator colleagues;
- rotate through Enforcement’s various groups (for example, Enforcement Legal, Investigations and the Office of Counsel to the Head of Enforcement);
- participate in a robust legal, financial, regulatory and leadership training, and a mentorship program; and
- grow a professional network through meaningful opportunities to work and learn with colleagues across the organization.
This is an excellent opportunity for recent graduates to:
- put their education to practical use;
- gain a better understanding of the practice of law;
- develop their skills and knowledge; and
- perform meaningful work that will have a positive impact on investors and the financial markets.
FINRA values diversity and inclusion, is an equal opportunity and affirmative action employer and encourages students with diverse backgrounds to apply. Participants who successfully complete the two-year program may be eligible to transition into other positions with FINRA where they will have continued opportunities to learn, grow and develop their career.