Regulatory Specialist - Regulatory Specialist FINRA Employee Review

1.0
Jan 26, 2016
Recommend
CEO approval
Business Outlook

Pros

Excellent Training Opportunities. I worked in both Sales Practice and Market Regulation and you got good exposure to broker-dealer regulatory issues. Internal movement is possible if you look into positions within the company and are willing to work in NYC or Rockville.

Cons

Absolutely horrific compensation. The worst in the industry and seems to be getting worse each year. Limited growth opportunities and the longer you stay, the harder it is to leave as FINRA's reputation outside the industry is spotty at best. This is a job for someone under the age of 30 who commits 3 years and moves on. Do not stay past 3 years!!! Terrible management as they are a bunch of FINRA lifers who only got promoted because they hung around and are willing to be donkeys for senior management. FINRA also has a tendency to hire people that nobody else wants so you will be working with some weirdos during your time there.

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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