FINRA Compliance Examiner Interview Questions & Reviews

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Interview questions and reviews posted anonymously by interview candidates.

Difficulty Rating [?] Based on 3 ratings

2.3

“Easy” Interview

Interview Experience [?] Based on 3 ratings

Positive	67%
Neutral	33%
Negative	0%

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3.0

Average Interview

Overall Positive Experience

Interviewed and No Offer

Interviewed May 2011 (took 2 days)

Process was simple. Received a call from HR about the position then had a written exam and then a 2 on 1 interview with the managers. Afterwards, I had another interview with the senior manager and that did not go so well. HR rep was really nice and helpful though.

Other Details

The interview consisted of a Phone Interview and a Skills Test.

Helpful Interview?

Yes | No

Inappropriate?

3.0

Average Interview

Overall Positive Experience

Interviewed and No Offer

Interviewed Nov 2009 (took a day)

Veryo casual conversation fowwledmby a series of structured questions to get a feel for how you will perform given different fact patterns. Staff seemed very knowledgeable about the industry and also very passionate about their mission. Ultimaely I did not get the job as they wound up hiring someone from within the organization.

Interview Questions

Don't recall specific question.

Answer Question

Other Details

The interview consisted of a 1:1 Interview.

Helpful Interview?

Yes | No

Inappropriate?

1.0

Very Easy Interview

Overall Neutral Experience

Interviewed and No Offer

Interviewed Jan 2010 in Chicago, IL (took 2 weeks)

Initial communication: Phone interview
Followup communication: 1:1 interview with hiring manager
Interview process: Uneventful. Manager not clear/unsure of what the position entails.
Skills Test.
Company may not be actively recruiting, only testing the water for candidates.