Company Profile - FINRA | Careerbuilder.com

Overview

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,700 brokerage firms, about 167,000 branch offices and approximately 633,000 registered securities representatives.

FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

Find out more about us and how we work—and view our current openings—at www.finra.org/careers.

Culture

We invest in our people. With more than 3,000 employees nationwide, FINRA is committed to a diverse, high-performance workplace. We recognize that it’s the hard work and dedication of our team that makes FINRA the strong, successful organization it is. That’s why we offer a competitive compensation, benefits and services package. The value of employment at FINRA not only includes a competitive salary and incentives, but also outstanding insurance, retirement and savings plans. Full-time employees and part-time employees working 20 or more hours per week, and their dependents, are eligible for a comprehensive program of flexible benefits. We offer the following options: medical dental vision employee and dependent life employee accidental death and dismemberment (AD&D) business travel accident short- and long-term disability Through our Savings Plus 401(k) Plan, you can contribute up to 50 percent of your eligible compensation, up to IRS limits, and FINRA will match 100 percent of the first 4 percent of base pay that you contribute to the plan. You are immediately 100-percent vested in all matching contributions and their earnings. FINRA also contributes a percentage of eligible compensation in the form of a retirement contribution. Participation is at no cost and requires no contribution from you; vesting is incremental, and you are fully vested after six years of service with FINRA.

Benefits

We encourage professional growth. At FINRA, we offer more than just a job; we provide employees with the learning and educational tools needed to enhance their knowledge, talents and abilities—whether it’s an online course to enhance productivity or a seminar to maximize leadership skills. Our professional development courses include online and in-person workshops. Employees can learn to better manage priorities and deadlines, enhance presentation effectiveness and sharpen software skills. Management-level employees can participate in the Managers Academy and Accelerated Development Program, and receive executive coaching. Our intranet houses a variety of courses, books and other tools to assist you. We provide tuition reimbursement for eligible employees. No matter your level of expertise, we offer resources to support your professional development.

Our Mission

We’re one team with one mission.

Our mission is clear—to provide investor protection and promote market integrity— and our effectiveness is crucial to the health of the capital markets. FINRA touches virtually every aspect of the U.S. securities business, including:

writing rules, examining securities firms to ensure that they’re adhering to those rules and, when necessary, taking action against brokers or firms that don’t comply;
registering securities firms, brokers and mutual fund corporations;
informing and educating the investing public;
providing real-time transaction and price data for corporate bond trades—thus bringing transparency to the market; and
administering the largest forum specifically designed to resolve securities related disputes.

To accomplish this each day, we are committed to recruiting, and retaining, the very best employees. And while our professional backgrounds may vary—ranging from law and finance to technology, accounting and administration—we all share a strong dedication to FINRA’s mission.

Worklife Program

We encourage balance.

At FINRA, we recognize how important it is to keep work and life in balance, and we strive to help employees achieve that through a variety of worklife programs. Over the years, we’ve been honored for our efforts: Working Mother Magazine included us among its 100 Best Companies, AARP named us one of its 50 Best Employers for Workers Over 50, Computerworld Magazine chose us as one of the 100 Best Places to Work in IT and the Maryland Work~Life Alliance has awarded us its Workplace Excellence Seal for several years running. In addition, FINRA offers a wide range of family care, financial, wellness and convenience services, including:

an employee assistance program;
flexible spending accounts for child and health care expenses;
tuition reimbursement;
transportation and commuter benefits;
adoption assistance;
discount health club memberships; and
special employee discounts on cars, computers, gifts, entertainment and more.

Diversity

At FINRA, our employees are our greatest asset and include many of the brightest and most talented individuals in the financial services industry. We strive to create a diverse and inclusive culture where the thoughts and ideas of all FINRA employees are valued, appreciated and respected.

Since fairness is at the very heart of what we do, diversity in our workforce must mirror the same commitment. Diversity at FINRA means understanding, accepting, respecting, and valuing differences among people regardless of their age, gender, race, ethnicity, culture, religion or spiritual practices, disabilities, sexual orientation, gender identity, family status or veteran status.

We are committed to leading by example and to maintaining a fair and inclusive work environment built on mutual respect and integrity. Our objective is for all employees to have the opportunity to develop and achieve their full potential and to contribute their unique perspectives to further FINRA's mission of enhancing market integrity and protecting investors.

FINRA values excellence and recognizes that by embracing the diverse backgrounds, skills and perspectives of its workforce, it will sustain a competitive advantage and remain an employer of choice. Diversity is a business imperative, enabling us to attract, retain and develop the best talent available, and to approach regulatory challenges with efficiency, creativity and innovation.