Working at FINRA

Listen to Brooke, a manager of FINRA’s Securities Helpline for Seniors in Boca Raton, Florida discuss how she and her team work with investors and FINRA-regulated firms to bring closure to questions and issues that arise from calls to the Helpline. She also describes how rewarding it is to be able to help protect investors in such a tangible way.

Join Kwame, Market Operations Manager for FINRA’s Transparency Services Department in Rockville, MD, as he explains how he and his team provide transparency in the securities markets. He also talks about his journey from Ghana to the U.S., as well as his love for soccer.

Hear Frank, lead systems engineer in New York, explain the types of projects he works on, from day-to-day tasks to more long-term endeavors like a new live-streaming solution. He also talks about how the technology he develops and manages helps FINRA be a more efficient regulator—and enables him to work virtually and be closer to his family.

Join Sheri, a director in FINRA’s Market Regulation department in Rockville, MD, as she talks about how she and her team monitor trading activity and look for unusual activity that could signal possible market manipulation. She also discusses her background, as well as how she gives back to her community through volunteering.

Listen to Partha, a principal research analyst in FINRA’s New York office, discuss how he helps analyze up to 50 billion market events every day to find manipulative or suspect behavior.

Join Dan, a senior security engineer on FINRA Technology’s cybersecurity team in Rockville, MD, as he explains how he monitors for potential breaches to FINRA’s systems that could compromise confidential information. He also talks about how the work his team does that ultimately helps protect investors.

Listen to Carolina, a principal examiner in FINRA’s Member Regulation – Sales Practice AML Investigative Unit in New York, share her story of how she came to FINRA. Starting (literally) at her front door, Carolina takes you through a typical day in her role.

Join Laura, a principal examiner in FINRA’s Member Regulation – Risk Oversight and Operational Regulation (ROOR) department in New York, as she talks about how she and her colleagues help protect investors by making sure firms have enough capital to operate. She also discusses how she collaborates with other FINRA departments to prepare for an exam.

Hear Jose, a New York-based examination manager in the Risk Oversight and Operational Regulation (ROOR) division of FINRA’s Member Regulation Department, discuss how his work is important to FINRA’s mission. He also explains how he and his colleagues prepare for onsite exams and what they look for during firm visits.

Listen to Amber, a senior examiner in FINRA’s Chicago office, talk about the types of investigations she and her colleagues conduct—cycle and cause examinations—and how the exam process has continued to evolve. She also discusses her background and why she feels valued at FINRA.

Watch Yuliana, an associate principal examiner in FINRA’s Denver office, talk about how the work she does helps protect investors. She also shares the story of her journey from her native Uzbekistan to Denver and FINRA.

Listen to FINRA employees talk about working at FINRA.