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Our Values at Work – People and Culture

For more than 80 years, FINRA has been at the forefront of providing America’s investors with the confidence to participate in financial markets that are sound and vibrant. Every day, more than 3,500 FINRA employees work together to protect investors and ensure markets remain transparent.
Our Values at Work – People and Culture

Our commitment to our mission is embedded in everything we do, along with a strong sense of our values—collaboration, expertise, innovation and responsibility. They reflect not only who we are as an organization, but what we strive for: one team, acting with one vision to achieve our public-service mission.

Because when we work together, we're stronger. At FINRA, we’re committed to fostering a diverse and inclusive workplace. We want to ensure that every employee has the opportunity to thrive and contribute their unique talents to our organization. So, whether you’re an examiner, an enforcement attorney, a technologist or HR specialistor any of the dozens of other roles and opportunities we offer—you are part of a diverse team of industry leaders whose unique backgrounds, education, cultures, thinking styles and perspectives make our success possible.

Interested in joining our team? Discover how you can play a role in making sure investors are protected and the market is trusted.

Our FINRA Values

COLLABORATION

We are a diverse team that works closely together and with all of our stakeholders.

EXPERTISE

We are skilled professionals working within a complex and ever-evolving brokerage industry.

INNOVATION

We are forward-thinking, embrace change and leverage leading-edge technology.

RESPONSIBILITY

We are good stewards of the public trust and our resources, act with fairness and transparency, and hold ourselves accountable to high standards.

News Release
WASHINGTON—FINRA announced today that Bari Havlik, EVP and Head of the Department of Member Supervision, plans to retire from FINRA later this year. Havlik will be succeeded by Greg Ruppert, who currently reports to Havlik and serves as EVP and leader of FINRA's National Cause and Financial Crimes Detection Program (NCFC), on November 1st. She will remain an adviser to Ruppert to assist with the transition until the end of the year.
News Release
WASHINGTON – The FINRA Board of Governors has appointed Sam Deshpande as a new public Governor. Deshpande is Chief Information Officer for Humana, a U.S. health insurance company. His term on the FINRA Board begins immediately, and he will join the Board at its upcoming Board of Governors meeting on July 21-22.
Report / Study
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Podcast
Diversity has been a focus for FINRA’s Board of Governors for several years— and recently the Board achieved a significant milestone from a diversity perspective. On this episode we talk to FINRA’s Corporate Secretary and Deputy Corporate Secretary to hear how FINRA’s Board of Governors got to where it is today, and also to hear why diversity very much remains a perpetual work in progress.
News Release
WASHINGTON—FINRA mourns the loss of former NASD Chairman and CEO Robert Glauber, a tireless advocate for the interests of investors and sound financial regulation throughout his distinguished career in the private, public and academic sectors.
Podcast
FINRA’s ombudsman is a neutral party that acts as an impartial, confidential and independent resource to assist in finding solutions to issues or concerns an individual may have with FINRA. On this episode, we talk to FINRA’s Ombudsman to hear she works to prevent real or perceived conflicts of interest.
News Release
WASHINGTON – With great sadness, FINRA today announced that Thomas Gira, Executive Vice President of Market Regulation and Transparency Services, passed away on Saturday, June 20. He was 58. “Tom was a beloved and devoted husband and father, as well as a tremendous leader, colleague and friend, and we are enormously heartbroken by his passing. We extend our most sincere condolences to Tom’s family, who are in our thoughts and prayers during this difficult time,” said President and CEO Robert Cook.
Blog Post
When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and Disclosure department.
Blog Post
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home? The solution: “FINRA in a Box.” That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory material, a little branded merch—and even a few pieces of candy to sweeten their first day.