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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.

Blog Post
First in a series highlighting colleagues working behind the scenes to help FINRA achieve our mission. Raj Pillai is no stranger to crises. Y2K. 9/11. The Northeast blackout of 2003. Superstorm Sandy. He has worked through them all, the latter at FINRA, which he joined in 2011. “There are different challenges with each situation. Every time, we’ve gotten better and better in terms of technology,” says Pillai, who as Senior Director of Enterprise Technology Services is FINRA’s lead on videoconferencing.
News Release
WASHINGTON—FINRA announced today that Tom Selman, Executive Vice President for Regulatory Policy and Legal Compliance Officer, is retiring after 24 years at the organization. 
News Release
WASHINGTON—FINRA announced today that Susan Schroeder plans to leave FINRA later this year, after leading the Department of Enforcement since 2017. Schroeder led the consolidation of FINRA’s enforcement functions into a new, unified group. The consolidated enforcement team now comprises 340 employees working in New York, Rockville, and 14 district offices handling disciplinary actions from across FINRA, from potential fraud to trading-based misconduct to sales practice violations.
News Release
WASHINGTON — FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA's Complaint Center and FINRA's Whistleblower program – since its creation 10 years ago. He will remain in his position until the end of the year.
Podcast
Corporate culture is defined as the way people act. But what helps people understand how to act, how to behave and how to make decisions? That’s the organization’s values.
News Release
WASHINGTON – FINRA today announced the formation of an Office of Financial Innovation that will serve as a central point of coordination for issues related to significant financial innovations by FINRA member firms, particularly new uses of financial technology (fintech). The move will further enhance FINRA’s ability to identify, understand and foster financial innovation in the markets in a manner that strengthens investor protection and market integrity.
Speech / Testimony
Remarks From the Global Diversity Leadership Exchange

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