FINRA Interview Question: -Examples of dealing with cha... | Glassdoor

Interview Question

Regulatory Analyst Interview Washington, DC

-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)

Interview Answer

1 Answer


Some tips: They will be nice to you, you may feel like you got the job, but interview in a cool manner and keep applying after the interview. Do not try too hard or act desperate. They like people with good personalities. Stay engaged with them. Bring examples of experiences and ready to answer some challenging questions. I believe that if you have good social skills that is key to getting the job. Allow them to ask you questions and take interest in you oppose to you showing too much interest in them.

Interview Candidate on Jan 10, 2014

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