Great Benefits but Low Morale and Complainers - Manager FINRA Employee Review

4.0
Jul 21, 2020
Recommend
CEO approval
Business outlook

Pros

FINRA has great health benefits and 401k match. Hard work and results are usually recognized and rewarded with a promotion and a high performance rating. Work can be very interesting if you are assigned to the right cases and/or develop a reputation for being very good at your job. People complain about the pay, but I didn't think it was bad, especially adding in the health benefits and 6% 401k match. You could get 10% more working at a broker-delear but with much less interesting work and who knows if the company will care about compliance (looking at you, Wells Fargo).

Cons

Management is typically pretty bad because they're focused on closing cases and barely focused on developing and supporting examiners. Morale in most regional offices is not very good. This is in part due to some employees who are just complainers and low-performers yet think they should be paid more and should have gotten a promotion instead of someone else. This can lead to a toxic level of disdain for FINRA which infects other employees. Political and bureaucratic. Always scared of SEC oversight yet the oversight never actually seemed to have any consequences regardless of what happened. It probably hurts regional management performance scores, but of course this would never be disclosed to employees why it actually matters.

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FINRA Response
5y
Thanks for taking the time to leave a review. We are glad you saw hard work recognized and rewarded. We are sorry to hear, however, that you had a negative experience with management. As you noted, there have been a number of changes since you left in 2017 as part of our Exam and Risk Monitoring Program transformation. This transformation, which has made transparency a priority, has streamlined our programs, allowing us to better leverage the skills and talents of our teams—and develop greater career opportunities—in our offices across the country.

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5.0
May 22, 2026
Recommend
CEO approval
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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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