Diversity of work experience: Regulation & Finance
Principal Analyst (Former Employee) – New York, NY – November 11, 2018
The culture of FINRA is that of compliance, most come from a legal background, or within the realm of financial compliance or risk management. FINRA has a widely known reputation outside of the firm as being a hard and stern enforcement agency, as an independent SRO it features some rules that are roughly outdated and cumbersome for organizations. If you work for the firm, be prepared to run into awkward conversations with former financial firm colleagues. Within the firm, a lot of the work takes a very direct relation to learning how to enforce and regulate more effectively. Right now a focus is on modernizing and using as much data as possible to inform decisions, especially at a market surveillance level.