FINRA

27 reviews

FINRA Employee Reviews

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Productive and Exciting Staff
Marketing Coordinator (Current Employee), New York, NYJuly 19, 2015
This is a phenomenal experience to learn a different aspect of Finance and the world of financial litigation. The staff is warm and very receptive to questions or issues that arise.
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Dedicated people working to protect investors
Principal Examiner (Current Employee), Woodbridge, NJJune 1, 2015
Pros: Dealing with different types of firms
Cons: limited advancement in district offices.
Company believes in the mission of investor protection and market integrity. The people are dedicated to the mission. The company has upgraded its exam systems to steamline the flow and protection of documents.
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Great place to work.
Assistant Director, Business Systems Support (Former Employee), Washington, DCJanuary 15, 2015
Very diverse work environment. Great company. Room for advancement.
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Good place to work. Team oriented
Sr. Manager, Billing and Accounts Receivable (Former Employee), Rockville, MDDecember 8, 2014
Pros: work life balance
Cons: select members of management micro-managed
The company believes strongly in life work balance. Promotes employees working towards common goal.
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Smart people to work with, enjoyed working in teams.
Technology Training Manager (Former Employee), New York, NYNovember 6, 2014
I was transferred to FINRA in June 2010 as a Technology Training Manager. I came over from a NYSE transition. The thing I enjoyed most was delivering training roll-outs to different audiences. The training could be Instructor Led, e-Learning, videos, WebEx, and Lync. The most enjoyable part of my job was creating an knowledge management resource center on our intranet. We had live blogs, video rotators, crawlers, dynamic training calendar all communication with the LMS. Brought down class registration from 9 clicks to 2 clicks.
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Good software and hardware technology to explore
Software Tools Engineer (Current Employee), Rockville, MDNovember 5, 2014
Flexible hours permits an adjustable work-life balance with most co-workers willing to mentor. Many of the staff are very smart people to learn from.
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Great coworkers
Administrative Assistant (Current Employee), New York, NYOctober 10, 2014
I've learned a lot at FINRA. I have great coworkers. The most enjoyable part of the job is working as a team.
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• Responsibilities included assessing financial solutions and cost estimating for the Invoice Tracking Contracts management workflow, federal regulati
Project Manager/Business Lead (consultant) (Former Employee), Rockville, MDAugust 22, 2014
• Responsibilities included assessing financial solutions and cost estimating for the Invoice Tracking Contracts management workflow, federal regulations incorporating 508 compliance, C&A certifications and Privacy Impact Implications (PII) requirements for Office of Research and Finance.
• Drafted Prospectus, Business Cases, Project charters, Project Schedules, WBS task plans, WBS Dictionaries, Risk assessment plans, Metrics & Milestones monitoring dashboards and Presentations on project success for FESWG.
• Designed and implemented framework for Business Process Analysis based on ITIL and BABOK standards.
• Responsible for developing “as-is” and "to-be" business processes models and use cases using Agile (Scrum) Methodology using DOORS for all projects in the Office of Research Finance (ORF) division.
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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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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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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, 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 – more... 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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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 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!

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 challenaging part of the job was working with other departments, and what I enjoyed most was just the bond we have there.
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Employees
1,001 to 5,000
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    Links
    FINRA website
    FINRA: Our Story

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