FINRA
3.1 of 5 137 reviews
www.finra.org Rockville, MD

FINRA Regulatory Analyst Interview Questions & Reviews

Updated Apr 3, 2014
All Interviews Received Offers

Getting the Interview 

83%
16%

Interview Experience 

40%
40%
20%

Interview Difficulty 

7 candidate interviews Back to all interview questions
Relevance Date Difficulty
in

Declined Offer

Neutral Experience

Average Interview

Regulatory Analyst Interview

Anonymous Interview Candidate

I applied online and interviewed at FINRA.

Interview Details – 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 Question – How will you use your past experiences to help contribute to this position?   Answer Question

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response

2 people found this helpful

Accepted Offer

Neutral Experience

Average Interview

Regulatory Analyst Interview

Regulatory Analyst
Washington, DC

I applied online and the process took 2 months - interviewed at FINRA in August 2013.

Interview Details – 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 Question – -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)
  View Answer

Negotiation Details – They offer you a salary, not really negotiable

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response

2 people found this helpful

Declined Offer

Negative Experience

Difficult Interview

Regulatory Analyst Interview

Regulatory Analyst
Rockville, MD

I applied online and the process took 2 weeks - interviewed at FINRA in June 2011.

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

Reason for Declining – Other, better opportunities.

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response

1 person found this helpful

Accepted Offer

Neutral Experience

Average Interview

Regulatory Analyst Interview

Regulatory Analyst
Rockville, MD

I applied through other source and the process took 4 weeks - interviewed at FINRA in December 2008.

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

Interview Questions

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response

1 person found this helpful

Accepted Offer

Positive Experience

Average Interview

Regulatory Analyst Interview

Regulatory Analyst
Rockville, MD

I applied online and the process took a day - interviewed at FINRA in July 2008.

Interview Details – Writing Sample, 2 1:1 interviews

Interview Questions

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

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response

3 people found this helpful

Declined Offer

Positive Experience

Average Interview

Regulatory Analyst Interview

Regulatory Analyst
Chicago, IL

The process took 2 weeks - interviewed at FINRA in December 2009.

Interview Details – 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

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response

1 person found this helpful

Declined Offer

Neutral Experience

Regulatory Analyst Interview

Regulatory Analyst

I applied online and the process took 4 weeks - interviewed at FINRA.

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

Was this interview helpful?  
Yes | No
Flag Interview  |  Add Employer Response
RSS Feed Embed
Interviews for Top Jobs at FINRA

Worked for FINRA? Contribute to the Community!

The difficulty rating is the average interview difficulty rating across all interview candidates.

The interview experience is the percentage of all interview candidates that said their interview experience was positive, neutral, or negative.

Your response will be removed from the review – this cannot be undone.

Glassdoor is your free inside look at FINRA Regulatory Analyst interview questions and advice. All 7 interview reviews posted anonymously by FINRA employees and interview candidates.