FINRA Interview Questions

Updated Jun 23, 2015
94 Interview Reviews

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  1.  

    Software Developer In Test Interview

    Anonymous Employee in Rockville, MD
    No Offer
    Negative Experience
    Difficult Interview

    Application

    I applied through a staffing agency. The process took 3 weeksinterviewed at FINRA (Rockville, MD).

    Interview

    Am very sad to express my words that my interview didn't go well!

    Phone Interview cleared with Introduction ,SQL and Puzzles.

    F2F interview round -Toatl they we 4 people in interview pannel and none of them has interest in asking Question except one developer.

    Explained about previous project and they have to me SQL scenario to solve.
    There are two tables, manager and employee, using sql query to return the managers whose id isn't presented in the employee id column of employees table. I wrote SQL query for the given scenario.

    Next The developer who is out his mind ask me to write JAVA program for above SQL scenario :( i tried my best to attempt but didn't wrote code like developer.

    Some test case input you need to guess for the same Employee and manger table against code.

    If you go for any Test Position pleas review all testers comments posted in this site.I would say they dont have much interest in hiring candidates whocomes from staffing agency.

    Need programming knowledge to crack this interview or you should lucky enough to get simple question like Fibonacci recursive and SQL questions (JOINTS) and some puzzle -Two glass balls , 100 story building.

    I didnt get any of these question in my interview pannel.

    Interview Questions

    • Developer who is out his mind ask me to write JAVA program for above SQL scenario :( i tried my best to attempt but didn't wrote code like developer.
      SQL scenario -two tables, manager and employee, using sql query to return the managers whose id isn't presented in the employee id column of employees table.
       
      Answer Question
  2.  

    Regulatory Analyst Interview

    Anonymous Interview Candidate in Rockville, MD
    Accepted Offer
    Positive Experience
    Easy Interview

    Application

    I applied through an employee referral. The process took 3 weeksinterviewed at FINRA (Rockville, MD).

    Interview

    One round of interviews, with a phone interview after with a higher-up. They also gave a writing test. It was similar to a high school essay prompt, basically wanted to make sure you could put together five paragraphs. After that, they had me meet with two managers and a current employee. As an entry level person they don't expect you know anything specific, but they did try to gauge that I was intelligent, could string words together to provide thoughtful response (sounds simple, but many people can not do this).

    Interview Questions

    • Why do you want to work at FINRA?   1 Answer
  3.  

    Gateway Agent Interview

    Anonymous Interview Candidate in Rockville, MD
    Accepted Offer
    Positive Experience
    Easy Interview

    Application

    I applied through a staffing agency. The process took a weekinterviewed at FINRA (Rockville, MD).

    Interview

    I applied through a staffing agency and interviewed with FINRA a couple days later. I met with all the different managers the day of the interview. Everyone was nice and easy to talk to. I got an offer a couple days later.

    Interview Questions

    • They asked a lot of hypothetical questions "What would you do in this situation..." They also ask how you handled pressure. Strengths and weaknesses etc.   Answer Question
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  5.  

    Associate Examiner Interview

    Anonymous Interview Candidate in New York, NY
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied through an employee referral. The process took 3 weeksinterviewed at FINRA (New York, NY).

    Interview

    I was referred by an employee and a few days later was invited to career day. At career day they have a small breakfast and presentation in the morning. Be aware you will be meeting the other candidates. Afterwards you meet with 3 to 4 directors or managers to be interviewed. They also host a lunch for the candidates between interviews. The questions are mostly behavioral based to see how you work in a team setting and make decisions.

    Interview Questions

    • Tell us about a time you had to make an immediate decision without having all of the facts? How did you go about making the decision and what was the outcome?   Answer Question
    • Choose a complex accounting topic and explain it to me?   Answer Question
  6.  

    Intern Interview

    Anonymous Interview Candidate
    Accepted Offer
    Positive Experience
    Average Interview

    Application

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

    Interview

    I had a phone interview with three managers. The managers were pleasant and welcomed all questions I had. Interview was about one hour. Managers explained what they do in the office. I was asked to tell them about myself, which included school and work experience. I had to answer four behavioral questions at the end of the interview.

    Interview Questions

    • I was not prepared with the behavioral questions, but I gave real life examples for each.   Answer Question
  7.  

    Associate Examiner Interview

    Anonymous Interview Candidate in New York, NY
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied through an employee referral. The process took 1+ weekinterviewed at FINRA (New York, NY) in April 2015.

    Interview

    I skipped the screening process because I was referred by an employee. I attended the career day. I have never felt so comfortable at an interview ever. They asked a little bit about my experience and school and they each asked me three behavioral questions which I had googled a list of some the night before and seen them on a website. Overall it wasn't as nerve wrecking as I thought a career day would be.

    Interview Questions

    • Give me a time when you didn't have all the fact you needed and had to make a quick decision.   Answer Question
  8.  

    Business Analyst Interview

    Anonymous Employee in Rockville, MD
    No Offer
    Positive Experience
    Easy Interview

    Application

    I applied through an employee referral. The process took a weekinterviewed at FINRA (Rockville, MD) in April 2015.

    Interview

    Phone call screen with HR then a face-to-face interview on site with 2 team managers, the branch head and the senior VP all at once. Very friendly environment with employees genuinely trying to recruit people that best fit the company.

    Interview Questions

    • All behavioral questions aimed at getting to know the candidate   Answer Question
  9.  

    Intern Interview

    Anonymous Employee in Woodbridge, NJ
    No Offer
    Positive Experience
    Average Interview

    Application

    I applied online – interviewed at FINRA (Woodbridge, NJ).

    Interview

    I applied online and was contacted by HR for a phone interview. The interview questions were mostly behavioral based. As long as you provide sufficient examples it should go well.

    Interview Questions

    • Tell me about a time when a team member wasn't pulling their weight. How did you handle it and what was the outcome?   Answer Question
  10. Helpful (5)  

    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

  11.  

    Regulatory Analyst Interview

    Anonymous Interview Candidate
    Accepted Offer
    Average Interview

    Application

    I applied online – interviewed at FINRA.

    Interview

    I was co tatted by a recruiter for an in person interview. I was greeted in HR office and explained about the interciew process and given a writing test. Then I was interviewed by a couple of managers.

    Interview Questions

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