FINRA Regulatory Analyst Interview Questions

Updated Jan 28, 2015
Updated Jan 28, 2015
8 Interview Reviews

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Regulatory Analyst Interview

Accepted Offer
Average Interview
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

Other Interview Reviews for FINRA

  1.  

    Regulatory Analyst Interview

    Declined Offer
    Average Interview
    Declined Offer
    Average Interview

    Application

    I applied online – interviewed at FINRA.

    Interview

    Apply online, they have multiple types of positions. Human resources emails/calls you if offered an interview. Interview is pretty straight forward, be prepared to talk about your resume, why you are interested in FINRA, and the specific group you are applying to. Everyone I talked to was pretty laid back and I would say the most important thing is too just be engaging and don't sound too rehearsed.

    Interview Questions

    • How will you use your past experiences to help contribute to this position?   1 Answer
  2. Helpful (9)  

    Regulatory Analyst Interview

    Accepted Offer
    Neutral Experience
    Average Interview
    Accepted Offer
    Neutral Experience
    Average Interview

    Application

    I applied online. The process took 2+ monthsinterviewed at FINRA (Washington, DC) in August 2013.

    Interview

    Levels of interview(generally):
    *HR calls for phone screening and a short writing sample maybe be requested, then;
    *interview with managers(1-3) and maybe some staff
    if managers interview goes well then;
    *Interview with the director or higher level manager
    *Job offer with a call from HR or no offer and you will not hear back
    *If offered and you accepted then background check and drug test

    -I Applied Online then HR called for interview (if you apply to multiple positions you may get multiple interviews, don't be surprised if they encourage you to apply to other positions)
    -Scheduled the interview - standard interview (they are specific about what they want)
    -At the interview they may say "tell me about yourself" or they'll try to get to know you a bit.
    -To get a job offer it helps a lot to know someone in the company, its almost impossible without knowing someone. They hire mainly from references within the company

    Interview Questions

    • -Examples of dealing with challenging reps
      -Programs you are familiar with (Excel and MS office in general)
      -Questions about being organized,team player, and multitasking
      -Working under pressure
      -Do you consider yourself successful? how would you describe being successful
      -Knowledge of FINRA/SEC/MSRB rules and regulations and surveillance systems (17a-3, 17a-4, 8210, oats, trace, etc)
       
      1 Answer

    Negotiation

    They offer you a salary, not really negotiable

  3. Helpful (2)  

    Regulatory Analyst Interview

    Declined Offer
    Negative Experience
    Difficult Interview
    Declined Offer
    Negative Experience
    Difficult Interview

    Application

    I applied online. The process took 2 weeksinterviewed at FINRA (Rockville, MD) in June 2011.

    Interview

    Applied online. Interview process was fairly intensive; panel interview with 5 employees in a very large room at Rockville headquarters. Somewhat intimidating environment. Many questions were skeptical, bordering on rude. Be prepared to be confronted and keep your cool. Afterwards, HR takes you back to the office to discuss benefits, etc., and you have to do a writing test -- approximately 1 hour long.

    Interview Questions

    • What in your background makes you think you have the qualifications for this position?   Answer Question

    Reasons for Declining

    Other, better opportunities.

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  5. Helpful (3)  

    Regulatory Analyst Interview

    Declined Offer
    Positive Experience
    Average Interview
    Declined Offer
    Positive Experience
    Average Interview

    Application

    The process took 2 weeksinterviewed at FINRA (Chicago, IL) in December 2009.

    Interview

    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

  6. Helpful (1)  

    Regulatory Analyst Interview

    Accepted Offer
    Neutral Experience
    Average Interview
    Accepted Offer
    Neutral Experience
    Average Interview

    Application

    I applied through other source. The process took 4 weeksinterviewed at FINRA (Rockville, MD) in December 2008.

    Interview

    The hiring process has changed significantly since I was hired. Now, there is a writing test in addition to the interview process.

    Interview Questions

  7. Helpful (1)  

    Regulatory Analyst Interview

    Accepted Offer
    Positive Experience
    Average Interview
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied online. The process took a dayinterviewed at FINRA (Rockville, MD) in July 2008.

    Interview

    Writing Sample, 2 1:1 interviews

    Interview Questions

    Negotiation

    No negotiation but I was granted a $5k relocation bonus

  8. Helpful (3)  

    Regulatory Analyst Interview

    Declined Offer
    Declined Offer

    Application

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

    Interview

    Interview was fair, but HR does not seem to know what they are doing.

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