FINRA Regulatory Analyst Reviews | Glassdoor

FINRA Regulatory Analyst Reviews

Updated February 23, 2017
29 reviews

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Regulatory Analyst

2.2
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FINRA Chairman & CEO Richard G. Ketchum
Richard G. Ketchum
17 Ratings

Employee Reviews

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Pros
Cons
  • No room for advancement or growth (in 12 reviews)

  • Work/life balance is hard with very aggressive technology strategy (in 11 reviews)

More Pros and Cons

  1. "Regulatory Analyst"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Regulatory Analyst in New York, NY
    Current Employee - Regulatory Analyst in New York, NY
    Recommends
    Neutral Outlook

    I have been working at FINRA full-time (More than a year)

    Pros

    Great work environment; dedicated and knowledgeable staff.

    Cons

    Compensation is below industry standard (vacation/salary).


  2. Helpful (5)

    "Extremely stressful environment"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Regulatory Analyst in New York, NY
    Current Employee - Regulatory Analyst in New York, NY
    Doesn't Recommend
    Negative Outlook
    Approves of CEO

    Pros

    Endless learning experience if you are just coming out of college and be exposed to regulatory. The hours may be long at times, but it is flexible. The employees also have option to work from home once a week or so.

    Cons

    Extremely territorial. A lot of politics. The managers also have favoritism and the "in circle." The favoritisms are the ones that will most likely succeed and be promoted.

  3. Helpful (6)

    "Avoid or get out"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Regulatory Analyst II in Rockville, MD
    Former Employee - Regulatory Analyst II in Rockville, MD
    Neutral Outlook
    Disapproves of CEO

    I worked at FINRA full-time (More than 5 years)

    Pros

    Other analysts, that are on the same level as you, are great to be around. Good vacation days. 40hrs sick leave and some personal leave too

    Cons

    Management is horrible. all they care about is the numbers at the end of the year, not about how hard you worked despite maybe lower numbers . different departments without finra have no cross over communication. PAY IS AWEFUL. if you ask too many questions or don't understand something then manager will give you less of a bonus and no merit increase. computers are old and slow but management expects you to be able to analyze billions of trades manually in minutes. if you sanction a firm and the settlement is huuugge, you still won't get any pay or bonus increase. upper management makes a huge bonus from those huge settlements. office layout is horrible, they have you starring at hallways. they're policy is that if you look for another job in the financial industry then you have to disclose it but if you disclose then your manager will find a reason to give you less work and therefore at the end of the year they will have a reason to let you go. MANAGEMENT IS HORRIBLE. you're yelled at if you have headphones in. you're yelled at if you're not constantly working even on lunch break. some managers even require you to work through your lunch break. and if you work through your lunch break then you still can't leave early, you have to be in the building for 9hrs. can't be sick more then 2 consecutive days or else you will need doctors note. Basically it's a labor camp.

    Advice to Management

    competitive pay with the firms we are regulating. Make us want to stay here instead of just getting a name on our resume. Make salary more transparent. Ask staff how morale can be boosted instead of using our deserved bonus money to pay ex CEOs retirement and pay for crappy renovation. EQUAL PAY FOR WOMAN!


  4. Helpful (4)

    "Great Potential But Poor Managers"

    Star Star Star Star Star
    Current Employee - Senior Regulatory Analyst in Rockville, MD
    Current Employee - Senior Regulatory Analyst in Rockville, MD
    Recommends
    Positive Outlook
    Approves of CEO

    I have been working at FINRA full-time

    Pros

    Great Opportunity to learn about financial regulation
    Decent pay
    Good benefits

    Cons

    Management appears afraid to make decisions grinding progress to a halt.

    Advice to Management

    While this is a risk averse type of work, calculated and thought out risks are necessary for progress. Stop being afraid to make a call if you can justify it. Ask senior managers for basis for decisions made and "manage up" to ensure than senior leaders are fully and properly informed. Stop being "yes" men.


  5. "Reg Analyst"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Senior Regulatory Analyst III in Lake Ronkonkoma, Suffolk, NY
    Current Employee - Senior Regulatory Analyst III in Lake Ronkonkoma, Suffolk, NY

    I have been working at FINRA (More than 5 years)

    Pros

    good work and /life balance

    Cons

    micromanagement there is quite rampant


  6. Helpful (5)

    "8.5/10"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Senior Regulatory Analyst in Rockville, MD
    Current Employee - Senior Regulatory Analyst in Rockville, MD
    Recommends
    Positive Outlook

    I have been working at FINRA full-time (More than 3 years)

    Pros

    Great place to work if you get the right manager. Above average salary and competitive bonuses. Great benefits, including 5-6% 401(k) match and ~14 vacation/personal days per year (depending on tenure).

    Cons

    Job satisfaction can be highly dependent on your manager. Difficult to move up in the organization due to lack of management turnover.


  7. Helpful (6)

    "Regulatory Analyst I - Fixed Income investigations"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Regulatory Analyst - Fixed Income Investigations in Rockville, MD
    Former Employee - Regulatory Analyst - Fixed Income Investigations in Rockville, MD
    Recommends
    Neutral Outlook
    No opinion of CEO

    I worked at FINRA full-time (More than 3 years)

    Pros

    a person gains a lot of experience, training, knowledge, and expands network. Decent bonus

    Cons

    Some of the managers are bi-polar, pressure is put on employees without a cause. A memo could sit for months on a manager's desk, then when it comes back to the analyst the memo becomes an emergency. The environment can be awkward and politicized sometimes. Basically, if you get a good manager, you will like the job, if you get a bad manager, you will hate the job.

    Advice to Management

    Stop being condescending and causing undue stress to employees. Some managers and Directors need retraining on how to treat people like humans. Often the managers and directors can be emotionally abusive.

  8. Helpful (2)

    "Politics"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Regulatory Analyst in Rockville, MD
    Former Employee - Regulatory Analyst in Rockville, MD
    Doesn't Recommend
    Neutral Outlook
    No opinion of CEO

    I worked at FINRA full-time (More than a year)

    Pros

    Learn a lot about regulation. It is a great place to start out a career.

    Cons

    If you are not a "YES" man, you won't do well.


  9. Helpful (1)

    "Great place to start a career"

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Regulatory Analyst II in New York, NY
    Former Employee - Regulatory Analyst II in New York, NY
    Recommends
    Neutral Outlook
    Approves of CEO

    Pros

    Amazing benefits and work life balance. if you have good managers you will be challenged and exposed to lots of different types of work.

    Cons

    Transparency has been become a bit murkey lately; very little mobility opportunities; rating program for determining bonuses is inherently flawed and does not reward employees appropriately

    Advice to Management

    Fix the rating system and create more opportunities for upward mobility otherwise turnover will only increase


  10. Helpful (1)

    "A comfortable existence."

    Star Star Star Star Star
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Regulatory Analyst in New York, NY
    Current Employee - Regulatory Analyst in New York, NY
    Recommends
    Neutral Outlook

    I have been working at FINRA full-time (More than 5 years)

    Pros

    You can learn a lot about different aspects of the industry. You are given a large amount of responsibility as well as independence - so the work and timelines are solely up to you.

    Cons

    There is the potential to feel 'isolated' in your work, and the independence could lead you to feel aimless, and it appear that management has no interest in your development and career path.

    Advice to Management

    Do more to show a personal interest in staff's development and career path other than signing them up for web training sessions. Talk to them, in-person, and talk with them about potential opportunities to work on special projects, and invite them on certain calls or meetings so they may gain valuable knowledge and experience outside of sifting through reports.