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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):
You give high priority to hiring firms with prestige. Market reputation and prestige of a firm may be determined through on-line research, and conversations with individuals working in your target industry. Note that firms "in the public eye" receive a great deal more critical publicity and attention than those operating with more anonymity. So as you assess your employment opportunities, be sure to seek out the positive aspects of the firm's reputation in addition to noting negative publicity the company may have received.
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 |
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| 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:
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| Wall Street Journal |
Business Publication |
