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      Avoid Enforcement - Senior Attorney FINRA Employee Review

      2.0
      7 Apr 2020
      Senior attorney
      Recommend
      CEO approval
      Business outlook

      Pros

      You will become very familiar with FINRA rules and the work is easy.

      Cons

      Zero room for advancement (unlike in the past). You will not be litigating cases, despite what they say in the interview. Your job will primarily consist of drafting "Closing Memos" to management. These memos describe some minor FINRA rule infraction on the part of an individual broker and analyze why FINRA should not take formal action. They are boilerplate, boring, and provide no real experience or develoment as an attorney. Also, moral is at an all-time low.

      avatar
      FINRA Response
      6y
      Thank you for taking the time to write a review. Our Enforcement department does important work and we encourage you to keep seeking out opportunities that challenge you and make use of your expertise. The opportunity to litigate is based on the outcome of the cases assigned and many cases are often resolved without the need for a hearing. If you believe you are ready for more challenging assignments, we recommend you discuss that with your manager and seek them out.

      Explore other reviews about FINRA

      5.0
      22 May 2026
      Counsel
      Recommend
      CEO approval
      Business outlook

      Pros

      The hybrid work schedule and the flexibility I am afforded in addition to excellent benefits.

      Cons

      Lots of folks don't do their job and aren't let go.

      1
      4.0
      28 Jun 2026
      Exam manager
      Recommend
      CEO approval
      Business outlook

      Pros

      Great work life balance with a supportive and collaborative team. There are many opportunities to learn, both through jobs and training programs, making it a great place for professional development.

      Cons

      Career advancement opportunities can be limited. Frequent organizational restructuring can also create uncertainty and make it challenging to plan the long term.

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