Principal Examiner - Principal Examiner FINRA Employee Review

1.0
Aug 7, 2018
Recommend
CEO approval
Business outlook

Pros

Benefits, exposure to varied firms and business lines/models, experience with a regulator will increase job/career prospects

Cons

Poor management, training, and work environment. Unpredictable business travel. Lack of accountability with staff and management.

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FINRA Response
6y
Thanks for taking the time to share your thoughts. We are sorry to hear you had a negative experience with management. We are in the middle of transforming our Examination and Risk Monitoring program to make it more effective and efficient, and we hope the changes being made will address the concerns you mention. In particular, we heard a lot of feedback when it comes to training and education and are making a big investment there. Employee feedback is the backbone of that transformation, so feel free to share any additional insights at glassdoor@finra.org

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5.0
May 22, 2026
Recommend
CEO approval
Business outlook

Pros

The hybrid work schedule and the flexibility I am afforded in addition to excellent benefits.

Cons

Lots of folks don't do their job and aren't let go.

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4.0
Jun 28, 2026
Recommend
CEO approval
Business outlook

Pros

Great work life balance with a supportive and collaborative team. There are many opportunities to learn, both through jobs and training programs, making it a great place for professional development.

Cons

Career advancement opportunities can be limited. Frequent organizational restructuring can also create uncertainty and make it challenging to plan the long term.

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