FINRA Compliance Examiner Interview Questions

Updated Mar 12, 2015
8 Interview Reviews

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Helpful (6)  

Compliance Examiner Interview

Anonymous Employee in New York, NY
Declined Offer
Positive Experience
Average Interview

Application

I applied online. The process took 6 daysinterviewed at FINRA (New York, NY) in February 2015.

Interview

Initially, I was contacted via email and we set up a phone interview for the same day. After a brief interview, they invited me in to interview in person. I met with two people (assistant directors), one who would be my manager and one other. After speaking for about an hour, they sent in their bosses (two directors) to meet with me for what they said would be 20-30 minutes. This interview ended up taking about 45 minutes. There were resume specific questions regarding my background and more general questions.

Interview Questions

Other Interview Reviews for FINRA

  1. Helpful (1)  

    Compliance Examiner Interview

    Anonymous Interview Candidate
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied online. The process took 4 weeksinterviewed at FINRA.

    Interview

    I had applied for a number of positions but was shut out, however I had developed a relationship with someone in HR who told me to apply for this particular job. First interview was with managers. Female asked textbook interview questions (biggest strength etc) while the male asked more interesting questions (what is your dream job, last book you read). I got called back to interview with their bosses. This was short, about 30 minutes. Waited a few weeks to hear back. There were no real technical questions, they just want to get a feel for the type of person you are.

    Interview Questions

    Negotiation

    No negotiation.

  2. Helpful (2)  

    Compliance Examiner Interview

    Anonymous Interview Candidate
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied through an employee referral. The process took 2 weeksinterviewed at FINRA.

    Interview

    I was called by an HR representative after sending my application online. I had a brief phone interview for about 8 minutes about my previous internships and recent work experience. It was very casual. I went in for a face to face with the associate director and a manager a few days later, The questions were behavioral and focused on my past work experience. The interview took about 30 minutes. Upon finishing, I was invited to talk with the director, who gave me more information about the company and the position. This was casual and informative, not requiring much participation from my end.

    Interview Questions

    • Tell us how you used excel to analyze data in your past position?   Answer Question
  3. Helpful (4)  

    Compliance Examiner Interview

    Anonymous Employee in Los Angeles, CA
    No Offer
    Difficult Interview

    Application

    I applied online. The process took 2+ weeksinterviewed at FINRA (Los Angeles, CA).

    Interview

    There was first a short 15 minutes phone interview. After about a week, I received a follow up for an in-person interview to meet with two managers. The interview lasted about an hour and consisted of three portions. First is about resume history, second is about experience, third is for Q&A.

    Interview Questions

    • If you were conducting an audit and found an error made two years ago by a previous examiner, what would you do?   Answer Question
    • Tell us a time when you did not meet a deadline.   Answer Question
    • Tell us a time when you disagree with a decision made from higher up.   Answer Question
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  5. Helpful (2)  

    Compliance Examiner Interview

    Anonymous Employee in Chicago, IL
    No Offer
    Neutral Experience
    Average Interview

    Application

    The process took 2 daysinterviewed at FINRA (Chicago, IL) in July 2012.

    Interview

    There was an initial phone interview with a human resources person, which lasted between 30 minutes and one hour. After her approval, I was scheduled for a panel interview with the two hiring managers, and that lasted about two hours. They admitted that they were reluctant to change, which let me know that this work environment was probably going to be intellectually and culturally stifling and restrictive.

    Interview Questions

    • Name an instance where you had to do something unpopular at work.   1 Answer
  6. Helpful (1)  

    Compliance Examiner Interview

    Anonymous Employee in Chicago, IL
    No Offer
    Neutral Experience
    Easy Interview

    Application

    The process took 2 weeksinterviewed at FINRA (Chicago, IL) in January 2010.

    Interview

    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.

    Interview Questions

    • Interview format was very informal. No real questions, just dialogue.   Answer Question
  7.  

    Compliance Examiner Interview

    Anonymous Employee
    No Offer
    Positive Experience
    Average Interview

    Application

    The process took 2 daysinterviewed at FINRA in May 2011.

    Interview

    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.

  8. Helpful (1)  

    Compliance Examiner Interview

    Anonymous Employee
    No Offer
    Positive Experience
    Average Interview

    Application

    The process took 1 dayinterviewed at FINRA in November 2009.

    Interview

    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

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