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18 reviews

FINRA Employer Reviews

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Software Developer QC Tester (Former Employee), Rockville, MDJune 30, 2014
It was an okay place to work, I didn't enjoy being a QC tester as much as a software developer
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Investor Protection!
Associate Director, Human Resources - Field HR (Former Employee), Chicago, ILMay 22, 2014
Pros: work/life, colleagues, clients
Cons: n/a
Great management, people, benefits, location! Hard working culture, dedicated and focused on
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Interesting and detail-oriented work
SPRING EXTERN (Former Employee), New York, NYMay 9, 2014
Management and analysts were very supporting of learning opportunities, mentoring my growth in knowledge of financial derivatives. I was asked to provide meaningful work to the team, going beyond a simple resume-padding internship.
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Recognizes talent
District Administrator (Former Employee), Kansas City, MOApril 1, 2014
Pros: excellent benefits
Cons: hard to fit breaks in, busy
Specifically, your hard work does not go un-noticed. Friendly atmosphere with opportunity for advancement
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Quasi Government Agency
Associate Principal Examiner (Former Employee), Boca Raton, FLApril 1, 2014
Learned everything there is to know about broker dealer compliance. 33 and 34 Acts, SEC and FINRA rules. Conducted routine audits of broker dealers in the Florida district.
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Good exposures and training
Principal Examiner (Former Employee), Woodbridge, NJMarch 18, 2014
Pros: good benefits
Cons: long hours
Finra is good company to work for because of the good benefits.
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Great experience working here.
Business Analyst (Former Employee), Washington, DCFebruary 25, 2014
Great experience working here and applying my skills to the project.
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Advance Detective System
Oracle PLSQL Technical Lead (Former Employee), IndiaJanuary 29, 2014
The Financial Industry Regulatory Authority (FINRA) is the largest Independent regulator for all securities firms doing business in the United States. Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange. FINRA is dedicated to investor protection and market – more... integrity through effective and efficient regulation and complementary compliance and technology-based services. Advance Detective System extracts tera data from the source system and perform regulatory rules against Trades, Best Bid, Quotes data and alert an excpetion as per the trading violation rules. – less
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Good Job
Senior Branch Examiner (Current Employee), New York, NYDecember 23, 2013
Good Job. Good Benefits and great work life balance.

Great place to start your career.
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Stable Job with Terrible Managers
Regulatory Analyst (Current Employee), RockvilleJanuary 7, 2013
Pros: benefits are amazing, esp persons wanting to start a family. they offer 5k a year for pursuing a degree or certificate.
Cons: star, the time tracking system. management lacks expertise, people skills and could care less about the noted low moral. very little career progression.
In Fixed Income Investigations you are asked what schedule you would like (7:30-4; 8:30-5) and you are expected to STICK to it. Please don't show up 15 minutes past your start time; you will soon see an email from your boss asking you to explain your whereabouts so they can report to their boss about why you were late! Yes, seriously.

In Fixed Income – more... Investigations, the management team will hire ANYONE to be a team leader/manager, qualified or not! Knowing the job and products regulated or not! So long as they get some chump they can push and poke and force to stress their team members until they conform.

In Fixed Income Investigations, turnover is high. As in the most senior staffer could be in the role for as little as 1.5-2 years. For most analyst, the 'honeymoon' period ends after 3-6mos, and after a year...you are looking for a job somewhere else. Most persons are out the door after they reach 2 years.

One thing FINRA never mentions during the interview is the company's use of STAR, a time tracking program that requires employees to represent how they spend their time each and every day. In some groups this is not a big deal. However, in Fixed Income Investigations, staff members are asked to enter their time on a daily basis. Managers are required to review time on a weekly basis and then submit a report to their boss noting any issues with their staff and how they have addressed the problem. So there's a lot of "you spent too much time on this case...."

Micromanaging is they way they prefer to do it. There is no team camaraderie, and moral is in the toilet. (as evidenced by the survey results discussed at the annual All Hands Meeting).

FINRA, particualry Fixed INcome Investigations, is a decent place to work for stability, a set schedule, and great benefits, but, if you want to apply for a job here, find someone who can give you the skinny before you accept an offer. They do a good job of selling the positions but it will suck the life out of you! – less

joeytd1 – April 10, 2013

And, if these comments keep up, they will try to agrandize themselves into being in charge of "supervision of the internet".

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Examiner
Principal Examiner (Current Employee), New York, NYJanuary 6, 2013
Pros: benefits
Cons: management
Within my seven years at the company has been good experience however over the years the company changed and management has become red tape. Management does not care about keeping staff for long period of time. People get fired because of speaking up for themselves.
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To ensure clients benifits matched to what they request
Entitlement Analyst (Former Employee), Rockville, MDDecember 3, 2012
Pros: decent job security, fairly competitive pay, free parking if you work in rockville office.
Cons: working with other teams in other departments isn't always easy.
A typical day would be checking voice mail, email, and processing forms along with taking calls that may have bounce from the call center. Ive learned many things but what stood out to me was attention to detail, very important. management & co-worker was the best. In the years ive work here at Finra I built the best relationship with my "team". The – more... challenaging part of the job was working with other departments, and what I enjoyed most was just the bond we have there. – less
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Safe org with governmental feel
Director (Current Employee), nycNovember 25, 2012
Although I work in NYC the organization feels much more like the government appointed org that it really is.
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Difficult Supervisor
Facilities Administrator and Property Management (Former Employee), New York, NYAugust 11, 2012
My immediate supervisor had a drug addiction which made a bad situation.
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Great opportunity to wear different hats on the job
Business Analyst/ User Acceptance Tester (Current Employee), Rockville, MDJuly 11, 2012
Good place to work if you want to gain exposure to all the different aspects of the SDLC.
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Sr QA Analyst/Lead
Sr QA Analyst/Lead (Current Employee), Rockville, MDJune 25, 2013
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. It is a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets. Dodd Frank act introduced significant changes (consolidation of regulatory agencies, – more... new oversight council to evaluate systemic risk, Comprehensive regulation of financial markets, Consumer protection reforms) to existing FINRA systems

Responsibilities:
RAD Sustainment System
• Lead testing efforts for PFRD (Private Fund Reporting) and IARD (Investment Adviser) systems
• Created Automation Scripts and maintained Regression Threads for CRD (Central Registration Depository) system using QTP
• Devised Automation Optimization Plan which focused on Automation Tests Breakdown(into smoke test, regression tests and test suites), Hardware and Software Streamlining, Data Setup Optimization and Managing Automation Backlog
• Presented a MOBILE APP TEST Strategy/Solution, which included identifying different mobile operating systems, basics of telecom, types of mobile apps testing, capabilities of simulators and emulators and exploring tools like Monkeytalk and PerfectoMobile
• Developed Visio design workflows/documents which when used with JTAF automation framework was used to automate an entire test suite of application called QUALS that lead to automation execution time reduction
• Built, maintained and executed automation scripts using Jenkins/Hudson. This involved creating views for different environments, configuring machines to run the scripts, creating build files, start remote execution and report execution results
• Proposed using Data Dictionary approach to centralize the maintenance of various validation and completeness check messages in the PFRD application
• Developed detailed test strategy to test Finra’s EFP (Electronic Fingerprint Processing) system with simulated FBI response
• Used STARTEAM to capture and organize Change Requests and Defects, assign work, and follow team activity. Proposed custom fields that help capture meta data to produce custom reports on QC team workload and testing status

Mortgage Licensing System
• Created Test Plans for EMS (Education Management), UST (Uniform State Test) and ACN (Advanced Change Notice) systems for which the project used AGILE method
• Enforced the QC team members to create HLTS (High Level Test Strategy) documents for every major functional component which was then reviewed and signed off by all teams
• Piloting JIRA to capture and organize issues, work assignments, and follow team activity. Designed and managed dashboards to monitor other teams – Dev, Data, BA, CM
• Designed many web pages and presented QA related documentation and content to both internal and external in CONFLUENCE
• Proposed automation test strategy to reduce automation execution time by moving away from GUI based script execution to XML and Data Level script execution
• Migrating Test cases from DOORS when Quality Center was adopted as new test case repository
• Developed SQL Queries and executed Triggers and Stored procedures to validate the database and back end of the application.
• Performance Center – Created Views and Groups for load testing, assigning number of users, define load generators and load test schedule. Performance tests, included load tests, volume tests, stress tests, endurance tests, scalability tests. Reported Defects.
• Posted discussion threads on critical and priority unresolved items based on design feedback and requirements at the Team discussion site for every release. Participated in frequent meetings with End user to obtain feedback and improved QA processes to accommodate changes
• Completed education courses on following topics every year- Document Integrity Training, FINRA Technology Records Training, Information Privacy and Protection Policy

Environment: MS Dotnet, MS Visual Studio 2010, TFS, VSS, Oracle11g, MS Lync, MS Visio, MS Office, JIRA, JTAF, TOAD, Confluence, XML, Jenkins, Hudson, DOORS, Quality Center , Performance Center, XMLSPY,STARTEAM – less
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Productive and Fun work
Module Lead (Current Employee), noidaJune 12, 2013
Work start with email checks and task allocation.aerobics session of one hour.Start with the today's task then lunch and after then walk of 15-20 minutes and back to work till 4:30 and then tea break of 15-20 minutes and at the end send the status of the today's task to the client with any issue faced.Have call with them in case necessary.Then day closing – more... time 7 pm. – less