FINRA Reviews | Glassdoor

FINRA Reviews

Updated October 8, 2018
413 reviews

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3.2
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FINRA President and Chief Executive Officer Robert W. Cook
Robert W. Cook
12 Ratings

413 Employee Reviews

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Pros
  • "Work life balance unmatched in Finance" (in 98 reviews)

  • "Great benefits for employees and lots of decade employees" (in 47 reviews)

Cons
More Pros and Cons

  1. Featured Review

    Helpful (2)

    "Meaningful work, great environment, opportunity to learn and grow"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Senior Director in New York, NY
    Current Employee - Senior Director in New York, NY
    Recommends
    Positive Outlook
    Approves of CEO

    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.


  2. "Culture is shifting"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Anonymous Employee
    Former Employee - Anonymous Employee
    No opinion of CEO

    I worked at FINRA full-time

    Pros

    The mission of this organization is the drive for many of the long-term employees

    Cons

    There is a noticeable change in the level of internal communication of strategy and direction, with a significant gap between senior management and staff

  3. "Senior Director"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Anonymous Employee
    Current Employee - Anonymous Employee
    Recommends
    Neutral Outlook
    No opinion of CEO

    I have been working at FINRA full-time

    Pros

    People I worked with were great.

    Cons

    Can be too bureaucratic at times


  4. Helpful (2)

    "Analyst (Market Regulation Dept.)"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Anonymous Employee
    Former Employee - Anonymous Employee
    Recommends
    Neutral Outlook
    Disapproves of CEO

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

    Pros

    -pretty much set work hours (40 hours)
    -good benefits, okay pay (less than industry though)
    -low pressure job (but not always)
    -a good 1.5 to 2 year job only, then you need to move on

    Cons

    -The work place can be great or bad depending on your manager/director/VP+
    -time entry, you have to track 8 hours every day into a system
    -Not a lot of room for uperward mobility, or flexibility to move around (they say you have it but the reality of the situation is that you don't)
    -There is not a lot of transparency with employees just the perception
    -The evaluations appear to be made up at the last minute and are not helpful
    -working hard doesn't get you far, a lot of the times it's based on FAVORITISM
     -Management/director/VP+ don't provide directions and ding you when you get things wrong, very hawkish, very condescending
    -Management waits until the last minute to tell you to do something then expect you to jump through hoops to get the work done, it's not necessary and can be avoided but they choose not to do so

    Advice to Management

    -need more direction
    -need more leadership
    -take more responsibility
    -tell us what we need to get a good eval, don't lie
    -management need to fight for staff oppose to just being selfish


  5. "Sales Practice Examiner"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Sales Practice Examiner in Woodbridge, NJ
    Former Employee - Sales Practice Examiner in Woodbridge, NJ
    Recommends
    Neutral Outlook
    Approves of CEO

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

    Pros

    Good Work/Life balance
    A lot of locations

    Cons

    Very poor community
    Departments do not communicate properly
    Feedback is poorly given

    Advice to Management

    Need to give feedback early and often
    need better communication
    need to stop switching up procedures so constantly


  6. "Counsel"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Anonymous Employee
    Current Employee - Anonymous Employee
    Doesn't Recommend

    I have been working at FINRA full-time

    Pros

    Great colleagues working here. Bright, hard working people.

    Cons

    New management has taken away the "we are one FINRA" environment. Very much gladiator pit fight mentality to getting ahead.


  7. "Senior Examjner"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Current Employee - Senior Examiner in Woodbridge, NJ
    Current Employee - Senior Examiner in Woodbridge, NJ
    Recommends
    Positive Outlook
    No opinion of CEO

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

    Pros

    Flexibility, work from home 2 days a week. Plenty of vacation

    Cons

    Decent pay but more could be made at a producing firm

  8. "Senior Examiner"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Comp & Benefits
    Current Employee - Anonymous Employee
    Current Employee - Anonymous Employee

    I have been working at FINRA full-time

    Pros

    There is good work life balance, you can work from home, have a day off you work extra hours, and generally not have to work more than the 40hrs per week. Benefits especially healthcare seem to be a lot better than the industry which makes sense since they don’t offer competitive pay.

    Cons

    Depending on your manager your work life can be a breeze or awful. Unfortunately there are less good managers.

    Advice to Management

    Turnover is not solely because the industry has better pay. Work environment is important.


  9. Helpful (1)

    "Great pay and Benefits"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Director in Washington, DC
    Former Employee - Director in Washington, DC
    Recommends
    Positive Outlook

    I worked at FINRA (More than 8 years)

    Pros

    Great benefits. Work can be meaningful.

    Cons

    Management is the old guard. Primarily former SEC staffers looking to cash in after a career in government. Management that has been there a long time have their favorite people and the organization is very bureaucratic.

    Advice to Management

    Focus on employees and try to streamline operations.


  10. Helpful (2)

    "‘Examiner’ Disappointing"

    StarStarStarStarStar
    • Work/Life Balance
    • Culture & Values
    • Career Opportunities
    • Comp & Benefits
    • Senior Management
    Former Employee - Examiner in Los Angeles, CA
    Former Employee - Examiner in Los Angeles, CA
    Doesn't Recommend
    Neutral Outlook
    No opinion of CEO

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

    Pros

    -Decent Benefits/time off (if you can use it)
    -Some nice introverted people to work with
    -Free bottled water in the break room

    Cons

    If you have any self respect, just don’t do it. I’m not sure why some of the other posts are about great work life balance because I was either in the office, on the road or at an airport waiting for a plane. Home was something of a myth.
    There is a reason the examiner position is permanently posted online. It’s one BIG revolving door. I could not believe how many examiners had worked there less then a year. They tell you minimal travel in your interviews then you find yourself living on the road not remembering the last hotel you stayed in or what city or town you are in. The pay is no where near where it should be for all the divorces and fractured relationships it causes. If the recruiter tells you about the big year end bonus, what ever numbers he tells you just cut it in half. Honestly, I felt like I was a trucker and being paid like one. Puts lots of stress on any relationships. Senior leadership/directors (in the LA office) is a text book example of individuals being promoted based on tenure and not on skill set or competency.

    -If you are a single individual that has cats at home with no other human relationships this might be for you. (Majority of co-workers fit this profile)

    -If your life aspirations are to audit financial offices and write a lengthy (And I mean LENGTHY) review and then have it criticed by a manager who will pick it apart then this might be for you.

    -If you like having NO Job autonomy this might be for you.

    -If you enjoy being micromanaged to a point where you can’t breath with out permission then this might be for you.

    -If you like working long hours (50-60 Hour weeks) and not being paid overtime this job might be for you.

    The co-workers at FINRA are nice, but the majority of them have almost no personality. I guess that goes with the audit space. I wish I would have read the reviews before I took this job. I will never get those two years back on my life.

    Advice to Management

    There is not much to say to Management because nothing will ever change there.


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