FINRA Interview Questions & Reviews
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Updated May 25, 2012 – Interview questions and reviews posted anonymously by interview candidates.
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Difficulty Rating [?] Based on 29 ratings 
“Average” Interview
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Interview Experience [?] Based on 29 ratings
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| 21–29 of 29 FINRA Interviews | Sort by |
Regulatory Analyst at FINRA
Posted Sep 14, 2010
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3.0
Average Interview
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Overall Positive Experience
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Received and Accepted Offer
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Interviewed Jul 2008 in Rockville, MD (took a day)
Writing Sample, 2 1:1 interviews
Interview Questions
Negotiation Details
No negotiation but I was granted a $5k relocation bonus
Other Details
I Applied Online and the interview consisted of a Phone Interview, a 1:1 Interview, a Skills Test and a Background Check.
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Helpful Interview?
Yes |
No
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Inappropriate?
Intern at FINRA
Posted Jul 28, 2010
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2.0
Easy Interview
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Overall Positive Experience
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Interviewed and No Offer
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Interviewed Mar 2010 in New York, NY (took 2 weeks)
Called to inform about the Phone interview.
had Phone interview. It was general.
I was not confident enough.
Messed it up.
Declined after a week,
Interview Questions
Other Details
I Applied Online and the interview consisted of a Phone Interview.
Helpful Interview?
Yes |
No
Inappropriate?
Compliance Examiner at FINRA
Posted Jun 29, 2010
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3.0
Average Interview
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Overall Positive Experience
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Interviewed and No Offer
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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
Other Details
The interview consisted of a 1:1 Interview.
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Helpful Interview?
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No
Inappropriate?
Regulatory Analyst at FINRA
Posted Jun 29, 2010
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3.0
Average Interview
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Overall Positive Experience
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Received and Declined Offer
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Interviewed Dec 2009 in Chicago, IL (took 2 weeks)
Received one phone interview, proceeded by two in person interviews. Interviews extremely informal on phone. Basic questions about education (Specific Courses), work history. Asked to explain a time when you made a mistake on the job or had a disagreement. Asked to explain a project where you worked with a team member.
Interview Questions
Other Details
The interview consisted of a Phone Interview.
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Helpful Interview?
Yes |
No
Inappropriate?
Case Administrator at FINRA
Posted Jun 7, 2010
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3.0
Average Interview
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Overall Positive Experience
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Received and Accepted Offer
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Interviewed May 2010 in Los Angeles, CA (took 3 weeks)
Initially contacted by HR. I think I got points for my cover letter, which was rather frank and slightly self-indulgent. Take chances. It'll get you noticed
The first interview was with my potential immediate supervisor. Interview was a personality test mostly and also was checking to see if I understood the requirements of the position. The test focused mainly on conflict resolution. At the end there was a skills test.
Second interview happened about a week later. This one was with higher management for the division I would be working for. Again it was a personality driven interview, mainly to gauge how I would handle certain situations.
They really seemed to value the ability to be team-oriented and interface with other well. Once I could relate that I had the ability to empathize, make tough decisions, and present a clear logic for making the decisions, the interviews progressed naturally and fluidly. Again, a lot of the interview process also depends on being able to show your interviewers that you understand your role and can handle the particular issues you face in that role.
Interview Questions
Negotiation Details
I probably could have gotten a couple thousand in better salary if I pushed, but in this job market you're better off accepting and asking for a raise a later.
Other Details
I Applied Online and the interview consisted of a 1:1 Interview, a Skills Test, a Personality Test, a Drug Test and a Background Check.
Helpful Interview?
Yes |
No
Inappropriate?
Analyst at FINRA
Posted May 17, 2010
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3.0
Average Interview
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Overall Positive Experience
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Interviewed and No Offer
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Interviewed May 2010 (took a day)
General employment background and information about the position.
Interview Questions
Other Details
I Applied Online and the interview consisted of a Group/Panel Interview and a Skills Test.
Helpful Interview?
Yes |
No
Inappropriate?
Compliance Examiner at FINRA
Posted Jan 29, 2010
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1.0
Very Easy Interview
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Overall Neutral Experience
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Interviewed and No Offer
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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.
Interview Questions
Other Details
The interview consisted of a Phone Interview, a 1:1 Interview and a Skills Test.
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Helpful Interview?
Yes |
No
Inappropriate?
Fixed Income Examiner at FINRA
Posted Jan 27, 2010
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3.0
Average Interview
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Overall Neutral Experience
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Interviewed and No Offer
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Interviewed Mar 2009 in Rockville, MD (took a day)
I felt the interview was based on a personality fit with the members of the group. I was interviewed by two junior people and a senior manager of the group. We mostly discussed my resume, leadership qualities, & dealing with problems and how you solve them in the work place.
Interview Questions
Other Details
I Applied Online and the interview consisted of a 1:1 Interview.
Helpful Interview?
Yes |
No
Inappropriate?
Software Developer at FINRA
Posted Jul 25, 2009
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3.0
Average Interview
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Overall Positive Experience
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Received and Accepted Offer
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Interviewed Jun 2008 in Rockville, MD (took a day)
had an initial round of interview via phone, after which got a call from manger for second round of interview ,
followed by onsite interview .
Interview Questions
Other Details
I got the interview through a Recruiter and the interview consisted of a Phone Interview, a Drug Test and a Background Check.
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