Finance Major Toolkit
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The world of Finance is regulated by a variety of organizations. FINRA, the insurance commissioners for each state, the OCC, the NAIC, FDIC, SEC, just to name a few.
Some of these roles involve a fair amount of travel, but in all of these roles you will get a strong understanding of how these businesses work. This is a great career where you can stay in one organization, or you may wish to utilize the expertise you have developed within the industry you have been regulating. The expertise that you develop is valuable to many firms.
Every financial institution has a compliance department. If you are detail-oriented and love to understand the rules, this is a growing field with many opportunities. The compliance professionals I know are strong, understand how the business works, and have many opportunities to work with senior leadership of an organization.
All Finance Majors must take three Finance Electives. The best options for this major are:
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FINRA internshipsThe Financial Industry Regulatory Authority has very strong internships. They also have locations in several major cities.
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The Office of the Comptroller of the CurrencyWant to learn about banks from the oversight position? Well this may be perfect for you. Check out the many opportunities and excellent opportunities at the OCC.
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The Iowa Division of BankingThe banks chartered in the State of Iowa are regulated by this group, and this is a tremendous internship opportunity for those interested in banking
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The Iowa Insurance DivisionThe state Insurance Commissioner oversees the Insurance companies domiciled in Iowa. Lean more about opportunities here.
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FDICA bank regulator with opportunities for students.
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Chicago Federal ReserveOpportunities at the internship and full-time level. And they are looking for Tippie students.
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Minneapolis Federal ReserveFull time and internships available. Recruit interns between November and February.
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Kansas City Federal ReserveEach Fed office has its own personality, and this one has a nice newer facility.
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St. Louis Federal ResrveAgain, internships and full-time. And it looks like a strong, healthy culture.
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FDIC Internship 2019They have them posted for all over the country, but these are in Minneapolis. Check their web sites for more opportunities. This closes Oct 12th.
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Securities Industry Essentials (SIE)You need a license to sell financial products. It used to be you had to be sponsored by a firm to take the exams. Starting October 1, 2018, you will be able to take the SIE, which means you can take much of the testing requirement while still in college. THIS WILL BE VERY HELPFUL TO GET A JOB AS A FINANCIAL PLANNER. Tippie will be offering a class to prep for the exam starting in Spring of 2019. Stay tuned.
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Securities Industry Essentials (SIE)You need a license to sell financial products. It used to be you had to be sponsored by a firm to take the exams. Starting October 1, 2018, you will be able to take the SIE, which means you can take much of the testing requirement while still in college. THIS WILL BE VERY HELPFUL TO GET A JOB AS A FINANCIAL PLANNER. Tippie will be offering a class to prep for the exam starting in Spring of 2019. Stay tuned.
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FINRAFINRA is the regulating body for individuals and firms that sell financial instruments.
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WSJ Compliance newsWSJ has a blog to keep you up to date on happenings in the compliance world.
- Last Updated: Jun 3, 2025 3:44 PM
- URL: https://guides.lib.uiowa.edu/financetoolkit
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