Senior Compliance Examiner - Senior Compliance Examiner FINRA Employee Review

3.0
Jun 7, 2015
Recommend
CEO approval
Business Outlook

Pros

great industry exposure and gives you the opportunity to learn about various facets of the financial services industry and broker dealer lines of business

Cons

at the onset the work life balance/culture was a huge benefit but it seems as though the organization is moving towards a micromanagement and metrics driven (beyond reason) management style which is more focused on reporting rather than qualitative work product

Explore other reviews about FINRA

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.

1
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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