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Finra (Formerly Nasd) Work Values
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Daily Duties at Finra (Formerly Nasd):
Conducted onsite inspections of broker/dealers’ compliance programs and systems, analyzed sales practices, assessed and analyzed each firm’s financial and operational condition according to NASD and SEC rules/guidelines. Prepared reports for each examination/ investigation and participated in conferences/interviews with management of member firms. • Completed monthly/quarterly financial reviews ensuring member firms maintained capital requirements. • Conducted investigative reviews for potential rule violations to protect the investing public. • Monitored member firms financial and business activities through several NASD computer systems ensuring firms remained compliant. • Chosen member of a pilot team to test a new regulation system, Insite Surveillance. Provided feedback to enhance system functionality. • Participated in an examination of a New York City based broker/dealer during the aftermath of 9/11/01. • Participated in Mentor Training.
What they like about Finra (Formerly Nasd):
Working in an organization that is technologically advanced, creative, and innovative is critical in your assessment of hiring companies. Less important to you are stability of the organization, the length of time an organization has been in business, and the business' plans for the future. You prefer a fast-moving company that will take risks to achieve its goals and objectives. The length of time the company has been in business is irrelevant. Maintaining status quo is unnecessary. You thrive on change, uncertainty and the upside of potential business risks, especially those associated with innovation. Stability for the long haul is not nearly as important as is working in an atmosphere that is charged with a sense of urgency and constant change.
Tags
FINRA Series 7, FINRA Series 24, Risk Management, Internal Controls, Regulatory, Compliance, Cleveland, Risk Analyst, Risk Reviewer, Compliance Officer, Regulatory Affairs
Information about Finra (Formerly Nasd)
Company Rank: Not Available
Average length of employment : 4 years
Average salary of employees: $73,000
These are some of the questions we asked our climbers about their experiences with Finra (Formerly Nasd):
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| Were your performance expectations clearly communicated? | 0.0 |
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| Were you recognized for meeting or exceeding expectations? | 0.0 |
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| Did you feel like your personal contribution was important? | 0.0 |
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| Was your career path clearly outlined and discussed? | 0.0 |
| 03| | ||
| I would recommend this as a place of employment. | 0.0 | |
| I believe in the purpose of this organization. | 0.0 | |
| I would work for this organization again. | 0.0 | |
| I feel employees are fairly compensated. | 0.0 |
Climbers who worked at Finra (Formerly Nasd) had these interests:
| Websites | |
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| Wall Street Journal |
Business Publication |
