Mission: Our ultimate goal is to foster robust, but fair and orderly, markets in which America’s 90 million investors can feel confident.
We work closely with the SEC and other federal regulators all the time. In fact, last year we referred 855 cases. Many came from our Office of Fraud Detection and Market Intelligence. Here's how they do it:
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What to learn what FINRA is all about? Check out our podcast FINRA Unscripted on our website or wherever you listen to podcasts.
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With more than 3,000 employees nationwide, FINRA is committed to a diverse, high-performance workplace. We recognize that it’s the hard work and dedication of our team that makes FINRA the strong, successful organization it is. That’s why we offer a competitive compensation, benefits and services package. The value of employment at FINRA not only includes a competitive salary and incentives, but also outstanding insurance, retirement and savings plans.
Full-time employees and part-time employees working 20 or more hours per week, and their dependents, are eligible for a comprehensive program of flexible benefits. We offer the following options:
Through our Savings Plus 401(k) Plan, you can contribute up to 50 percent of your eligible compensation, up to IRS limits, and FINRA will match 100 percent of the first 6 percent of base pay that you contribute to the plan. You are immediately 100-percent vested in all matching contributions and their earnings.
FINRA also contributes a percentage of eligible compensation in the form of a retirement contribution. Participation is at no cost and requires no contribution from you; vesting is incremental, and you are fully vested after six years of service with FINRA.
At FINRA, we offer more than just a job; we provide employees with the learning and educational tools needed to enhance their knowledge, talents and abilities—whether it’s an online course to enhance productivity or a seminar to maximize leadership skills.
Our professional development courses include online and in-person workshops. Employees can learn to better manage priorities and deadlines, enhance presentation effectiveness and sharpen software skills. Management-level employees can participate in a variety of core leadership programs, online management courses, and various nomination programs—all designed to build on their leadership skills. FINRA also offers mentoring programs and executive coaching.
Our intranet houses a variety of courses, books and other tools to assist you. We provide tuition reimbursement for eligible employees, and FINRA is a qualified employer for the Public Service Loan Forgiveness Program. No matter your level of expertise, we offer resources to support your professional development.
At FINRA, we recognize how important it is to keep work and life in balance, and we strive to help employees achieve that through a variety of worklife programs. Over the years, we’ve been honored for our efforts: Working Mother Magazine included us among its 100 Best Companies, AARP named us one of its 50 Best Employers for Workers Over 50, Computerworld Magazine chose us as one of the 100 Best Places to Work in IT and the Maryland Work~Life Alliance has awarded us its Workplace Excellence Seal for several years running. In addition, FINRA offers a wide range of family care, financial, wellness and convenience services, including:
Innovation is part of our DNA
FINRA Technology invests in innovative tools to build sophisticated surveillance systems, process extraordinary amounts of data and deliver cutting-edge applications, programs and hardware to regulate a critical part of the securities industry. FINRA Technology is also responsible for the maintenance of its network and the complex set of equipment, software and electronic tools that allows FINRA employees to perform their daily duties. For more information, visit our website.
A career at FINRA puts you in the middle of the financial world. Every day, our Member Supervision financial examiners are in the field taking a close look at the way brokers operate to ensure compliance with our own rules and federal securities laws to ensure our financial markets remain fair and secure.
Our mission is Investor Protection, Market Integrity. FINRA examiners are at the heart of that mission. Their work is critical in safeguarding investors and ensuring the integrity of our financial markets. It is challenging and rewarding work that demands an understanding of financial markets, an eye for risk, the curiosity of an investigator and a passion for our mission.
Helpful (12)
I have been working at FINRA full-time (More than a year)
Pros
FINRA offers opportunities for people in a broad range of professions - data scientists, compliance examiners, enforcement attorneys, other regulators, investor educators, etc. - to grow and develop within their respective areas while doing very meaningful work: helping to protect investors.
Challenging work that is personally and professionally rewarding. Collegial environment where others are happy to share their expertise to help you learn. Competitive compensation and benefits. FINRA is renewing itself with a comprehensive review of its organization and operations, with an eye toward being the most effective and efficient organization it can be. FINRA is fully committed to a diverse workforce and inclusive work environment, offering a number of programs and benefits along these lines. Senior leadership is actively engaged in advancing diversity and inclusion goals.
Overall, an expectation that you have an opportunity to contribute your individual perspective and expertise to the success of the organization, and your ideas and views will be heard.
Cons
If you think that a non-for-profit, self-regulatory organization would be sleepy and slow-paced, this is not for you; performance expectations are set very high and the work can be intense.
The organization is in the midst of very positive changes, and if you're not flexible, adaptable and willing and able to reinvent your work, this is not the place for you.
Advice to Management
Keep reinventing yourself. Change is of course difficult on many levels, but essential to remaining vibrant, relevant and an attractive choice for people who want to make a positive difference in our markets and economy.
Helpful (5)
Application
I applied online. The process took 3 weeks. I interviewed at FINRA (Washington, DC).
Interview
Interview process was time consuming. Met with several current employees, when one or two would have been sufficient, as no additional insight about the position or work environment provided. After several interviews and extremely encouraging feedback, mislead about receiving an offer.
Extreme lack of professional courtesy in failing to notify candidate of withdrawal of offer/non-offer within timeframe given by interviewer.
Interview Questions
