FINRA Interview Questions | Glassdoor

FINRA Interview Questions

Updated May 14, 2018
168 Interview Reviews

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  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.  

    Risk Interview

    Anonymous Interview Candidate in Washington, DC
    No Offer
    Positive Experience
    Average Interview

    Application

    I applied through college or university. The process took 4+ weeks. I interviewed at FINRA (Washington, DC) in February 2018.

    Interview

    The interview is conducted by three professionals, a total of one hour. They concentrate on past experience, softwares and finance each. They are very curious about your past detail experience and how you would link that to your position.

    Interview Questions

  3.  

    Java Developer Interview

    Anonymous Interview Candidate in Rockville, MD
    No Offer
    Negative Experience
    Difficult Interview

    Application

    I applied through a staffing agency. The process took 5+ weeks. I interviewed at FINRA (Rockville, MD) in February 2018.

    Interview

    The manager took a very long time(almost 40 days) to do the interview process. Initially a phone screening was set but they cancelled it and asked me to do an assignment which involved more of front-end. After submitting the assignment, again they took a very long time to schedule the phone interview, after the phone interview, they asked my schedule to set up for in person interview, I gave my available time from the choice they gave me. But they did not confirm the interview till the last minute and then scheduled it one week later.

    Interview Questions


  4.  

    .NET Developer Interview

    Anonymous Employee in Rockville, MD
    Accepted Offer
    Neutral Experience
    Average Interview

    Application

    I applied online. I interviewed at FINRA (Rockville, MD) in February 2018.

    Interview

    First contacted by a recruiter, very respectful and accommodating. She set me up with a phone interview with the hiring manager, and he wanted to bring me in after speaking with him. Interview was with him and another manager, it was great! They seemed like great people to work with. However, the closer we got to actually going through with an offer, I became uneasy with how the recruitment side was handled. FINRA outsources their recruiting and for the bulk of the process, this recruiting team was very accommodating. Unfortunately, the actual Account Manager on the team, who had all the bargaining power over the contract, made me feel uneasy. Basically, he gave me the vibe that he was trying to get me to sign the contract so his team could get paid. I understand that's the nature of the business, but he blatantly seemed to be most concerned about the contract rather than the fact I was about to make a huge career move. For that, I ended up turning down the offer. I was employed at the time so I had the freedom to do so. Overall, I think FINRA could be an awesome place to work at with the right mindset, however, their outsourced recruiting didn't give me a good feel. Just be aware of all these things when interviewing with them.

    Interview Questions

    • A lot about what experience I have working with applications and databases. My knowledge of .NET developing concepts. It was a lot of general stuff. No writing out code or very trivial questions.   Answer Question

  5.  

    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


  6. 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.   8 Answers

  7. Helpful (1)  

    Regulatory Analyst Interview

    Anonymous Interview Candidate in Rockville, MD
    No Offer
    Neutral Experience
    Average Interview

    Application

    I applied online. I interviewed at FINRA (Rockville, MD) in January 2018.

    Interview

    Emailed by HR for convenient time, spent exactly one hour with two managers- they were totally going thruough the motions. I had interviewed for a few other jobs, exactly the same questions off same song sheet. No response afterwards. More than 25% are hired from within according to manager, so I assume they have to through the motions, which is an unfortuante waste of my time. I think it is unfortunate HR cannot send a a nice email saying position is filled. Afterall, I spent the time to apply.

    Interview Questions

  8.  

    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

  9.  

    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

  10. 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

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