FINRA Interview Questions | Glassdoor

Find your next job here

FINRA Interview Questions

Updated Feb 12, 2018
164 Interview Reviews

Experience

Experience
63%
24%
13%

Getting an Interview

Getting an Interview
41%
19%
17%
16
6
1

Difficulty

3.0
Average

Difficulty

Hard
Average
Easy

Candidate Interview Reviews

Filter

Sort: PopularDateDifficulty

Filter

Sort: PopularDateDifficulty
  1.  

    Member Regulation Interview

    Anonymous Employee
    Accepted Offer
    Positive Experience
    Easy Interview

    Application

    I applied online. The process took 4+ months. I interviewed at FINRA.

    Interview

    I applied online and a month later I did an over the phone interview with the Exam manager. A month afterwards I went in for another interview with 2 Exam Mangers. There were mostly behavioral questions and how my education and past experiences would help with the internship. A couple of weeks later there was a phone interview with the director and a month afterwards I received an offer.

    Interview Questions

    • Discuss a time where you had to accomplish a task with a group?   1 Answer

  2.  

    QA Analyst Interview

    Anonymous Interview Candidate
    No Offer
    Positive Experience
    Average Interview

    Application

    I applied through an employee referral. I interviewed at FINRA.

    Interview

    1. general phone interview : work experience and projects. the interviewer explained process of the interview and what Finra does,
    2. writing : like cover letter
    3. technical phone interview : simple statistic question , brain teaser, technical question

    Interview Questions

  3. Helpful (1)  

    Examiner Interview

    Anonymous Interview Candidate
    No Offer
    Negative Experience
    Easy Interview

    Interview

    Multiple roles, waited over 30 day to hear back after interview. Company seems to discriminate against "overqualified" applicants (read age discrimination). It is a sad state of affairs to see the financial regulator pass up on applicants that have actually been in the industry.

    Interview Questions

    • I believe the company won't hire older candidates- Double the years experience for a role without success applying.   7 Answers

  4.  

    Investigator Interview

    Anonymous Employee
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied online. The process took 4+ weeks. I interviewed at FINRA.

    Interview

    Called by HR rep to walk through the resume and gauge interest, followed by a group interview with the managers of the local office and the director of the group. Standard interview, walking through the resume and some questions on interest in the field

    Interview Questions

    • Asked what I had done in previous positions that would apply to the position   Answer Question

  5.  

    Junior Attorney Interview

    Anonymous Interview Candidate in Boston, MA
    No Offer
    Positive Experience
    Average Interview

    Application

    I applied online. I interviewed at FINRA (Boston, MA).

    Interview

    Phone screen held. The in person interview involved a relatively informal meeting with division leaders. Nice group of people with impressive backgrounds. Overall a positive experience.

    Interview Questions

    • What makes you a good candidate for the job? Why are you interested at this time?   Answer Question

  6. Helpful (3)  

    Examiner Interview

    Anonymous Interview Candidate in Chicago, IL
    No Offer
    Negative Experience
    Easy Interview

    Application

    The process took 2+ months. I interviewed at FINRA (Chicago, IL).

    Interview

    Phone screening was excellent. Intelligent questions about past experience and the like. When invited to the next stage in-person interview, the screener was very clear about the title, role, salary range and who I would be interviewing with onsite. The onsite interview, however, was very odd. After they rescheduling several times, I ended up being interviewed by two people who were not the person I was intended to be set up with by the screener. Also, as soon as it started, they explained that there was no job actually open and that this would be an interview for any propective role that might come up -- entirely the opposite of what I was told by the screener. These managers then wondered out loud in the screener told me a job was actually open -- as if to signal that they do not particularly like the process where people outside their local office screens for positions. I decided not to tell them I was actually there to see their boss (the executive director) and apparently I was supposed to be interviewing for a job like theirs -- not to be working with either of them. One manager wore some kind of weird cape, as well, which merely added to the lack of professionalism noticed in this Chicago Office. Too bad, the work would be interesting but it is clear that this Office has some serious problems. It was also very interesting to hear from these "managers" how they conduct onsite interviews and reviews -- terribly inefficient. These folks have been with this office for years and clearly have never done another job. As such, they have no idea how to conduct an onsite review efficiently and collaboratively. The world had changed much in the last decade or so and these folks are likely an impediment to the process they are supposed to managing because they are not keeping up with the times.

    This office that allows admin assistants and junior managers to fiddle with a process where phone screeners who work for the FDIC HR centrally select people to be interviwed for positions but are obviously "rerouted" by middle managers and their admin staff from seeing the people who are actually supposed to be interviewing them. Very poor form. If you get an interview for Chicago be sure to confirm who you are to see and do not accpet any appointment where that person is not the person in the room when you arrive. Note to Executive Director in Chicago -- my impression is that your staff is keeping you from seeing candidates that might have great skills and experience and be able to interact with your customers on more of a peer basis. You probably have soem great people and perhaps some folks who have been there too long -- why not try to get in some fresh perspectives. One quality new person - especially with some experience -- often motivates a tired workforce more than anything else ..... Goog luck Executive Director, it is obvious you need it.

    Interview Questions

    • Be sure to review common accounting terms, even for a non-accounting or manager role. They explain that they will ask some technical questions - basic stuff; and part of the interview would be a "phsycological" test - which was done so poorly it was hilarious.   Answer Question

  7.  

    Examiner Interview

    Anonymous Employee
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied online. The process took 2 weeks. I interviewed at FINRA.

    Interview

    Phone interview followed by super day. Applied online. Application process wasn't very strenuous. Didn't make you jump through hoops to get your foot in the door. Mostly behavioral questions throughout all phases of the interview process.

    Interview Questions

    • Describe a time you were confronted with a nearly insurmountable obstacle. How did you overcome it? What about you allowed you to overcome it?   Answer Question
  8.  

    Examiner Interview

    Anonymous Employee in New York, NY
    Accepted Offer
    Positive Experience
    Easy Interview

    Application

    I applied through an employee referral. The process took 3 weeks. I interviewed at FINRA (New York, NY) in November 2017.

    Interview

    First there is a phone screen that takes about 5 minutes and then there are two rounds of interviews with about 4 people each. Basically behavioral questions and asking about experience. Everyone was very nice.

    Interview Questions

    • Can you describe a time where you disagreed with your supervisor?   Answer Question
    • Describe a time when you had to work with a challenging person.   Answer Question
    • Tell us about what you do at your current job.   Answer Question

  9.  

    Dispute Resolution Specialist Interview

    Anonymous Interview Candidate in Chicago, IL
    No Offer
    Positive Experience
    Difficult Interview

    Interview

    Call from HR person. First half of interview with staff. Second with supervisor. First half went well. Second was a grilling. Overall all it was fair. I did not hear back from the.

    Interview Questions


  10.  

    Senior Administrative Assistant Interview

    Anonymous Interview Candidate in Woodbridge, VA
    No Offer
    Positive Experience
    Average Interview

    Application

    I applied online. The process took 4 days. I interviewed at FINRA (Woodbridge, VA) in October 2017.

    Interview

    Applied on 10/2/2017 received a call on 10/19/2017 about setting up a phone interview. The interview was easy and seemed conversational. Recruiter then set up in person interview for 10/26/2017 for 2 hours. Went In on that date a interviewed with office manager for 1 hour. She then brought me around the office to interview with 3 other people. I sat with the VP Maureen, who was really nice. I met with a Hearing Officer Carla, who was also very nice. I was then supposed to meet with a case administrator but they were in a meeting. So the office manager brought me back to her office where we chatted for a few additional minutes to see if I had any additional questions. Which I didn’t. Which is probably why I didn’t get the offer. All in all great interview.

    Interview Questions


Don't Miss Out On a Job You Love
Upload a resume to easily apply to jobs from anywhere. It's simple to set up.