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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.

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Media Center
This episode originally aired in March 2022. Detecting and deterring fraud and insider trading is at the core of FINRA's mission of investor protection and market integrity. On this episode, the head of FINRA's Market Investigations team joins us once again to talk about the latest trends and patterns in FINRA's fraud and insider trading investigations, including some stories about some of the craziest and most interesting cases of the past few years.
Podcast
Dr. Cesar Escalante’s pioneering research into racial and gender biases in agricultural lending helped earned him the 2022 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, hear from Dr. Escalante about his research, his dedication to mentorship and more.
Media Center
Member Supervision, Market Regulation and Transparency Services and Enforcement. These three teams together make up Regulatory Operations or Reg Ops, which is at the very core of FINRA's efforts to protect investors and ensure fair and efficient markets for all. On this episode, we hear from the heads of all three groups about how they are working together to increase coordination and to ensure integrated oversight, to be able to better anticipate and address risks.
Media Center
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear how these changes will help FINRA better deliver on its mission of investor protection, market integrity.
Media Center
The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study. On this episode we delve into the latest results of this nationwide, triennial study.
Podcast
Juneteenth is a day to celebrate, but it's also a day to reflect upon the hardships that African Americans endured and the forces that continue to undermine the freedoms of Black Americans. On this episode, we invite you to join us in this reflection as we explore what FINRA has been doing to build a better future.
Media Center
The Membership Application Program Group, FINRA’s the gatekeeper to the broker-dealer industry, is undergoing a transformation to develop a more streamlined process to help firms and prospective firms work through the New Membership and Continuing Membership Application processes more efficiently. On this episode, we learn what firms can expect.
Media Center
In 2020, FINRA and the CE Council embarked on the biggest transformation of the continuing education program in 25 years. And in the months ahead, those major changes are going into effect. On this episode, we learn what firms and reps can expect and why these changes will have such a big impact.
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.

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