FINRA Regulatory Analyst Interview Questions | Glassdoor

FINRA Regulatory Analyst Interview Questions

Interviews at FINRA

16 Interview Reviews

Experience

Experience
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31%
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Getting an Interview

Getting an Interview
66%
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7

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Average

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Helpful (2)  

Regulatory Analyst Interview

Anonymous Interview Candidate
Declined Offer
Average Interview

Application

I applied online. I 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

Other Interview Reviews for FINRA

  1. Helpful (15)  

    Regulatory Analyst Interview

    Anonymous Employee in Washington, DC
    Accepted Offer
    Neutral Experience
    Average Interview

    Application

    I applied online. The process took 2+ months. I interviewed 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


  2. Helpful (4)  

    Regulatory Analyst Interview

    Anonymous Interview Candidate in Rockville, MD
    Declined Offer
    Negative Experience
    Difficult Interview

    Application

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

  3. Helpful (1)  

    Regulatory Analyst Interview

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

    Application

    I applied through other source. The process took 4 weeks. I interviewed 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


  4. Helpful (4)  

    Regulatory Analyst Interview

    Anonymous Interview Candidate in Chicago, IL
    Declined Offer
    Positive Experience
    Average Interview

    Application

    The process took 2 weeks. I interviewed 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


  5. Helpful (1)  

    Regulatory Analyst Interview

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

    Application

    I applied online. The process took 1 day. I interviewed 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


  6. Helpful (8)  

    Regulatory Analyst Interview

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

    Application

    I applied online. The process took 2 weeks. I interviewed at FINRA (Rockville, MD) in November 2015.

    Interview

    I applied online through the FINRA career website, and then was contacted by an HR specialist by phone to set up an interview. The interview was scheduled for about a week later. I met with 2 people and the interview lasted about an hour. A few days after the interview, I was contacted by the HR specialist to discuss salary requirements.

    Interview Questions

    • Standard interview questions. How do you prioritize tasks? How do you handle conflict?   Answer Question

  7. Helpful (2)  

    Regulatory Analyst Interview

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

    Application

    I applied through an employee referral. The process took 1 day. I interviewed at FINRA (Rockville, MD) in June 2011.

    Interview

    Prior to the interview, I took an online writing test administered by HR. The interview lasted less than 2 hours. Met with a Manager and a Director at the same time. The interview was very informal. The Manager and Director wanted to get to know me and allowed the interview to flow organically. The interviewers did not have many planned questions. I only spoke about 40% of the time and the interviewers spoke about 60% of the time. I wore a suit but the interviewers were dressed in business casual.

    Interview Questions

    • Tell us about your past work experience? Describe how you worked through a problem at your previous employer   Answer Question
  8. Helpful (1)  

    Regulatory Analyst Interview

    Anonymous Employee in Rockville, MD
    Accepted Offer
    Positive Experience
    Easy Interview

    Application

    I applied through an employee referral. The process took 2+ weeks. I interviewed at FINRA (Rockville, MD) in July 2012.

    Interview

    They give you a basic writing test when you come in for your interview. You then meet with the hiring manager and sometimes other team members. Your phone conversations are with HR initially and they will ask you to come in if they like you. Applying externally is very difficult and I tried this for a long time and never heard back. I had someone submit my resume internally and then i received a call back pretty quickly.

    Interview Questions


  9. Helpful (6)  

    Regulatory Analyst Interview

    Anonymous Employee
    Accepted Offer
    Positive Experience
    Average Interview

    Application

    I applied online. The process took 1+ week. I interviewed at FINRA.

    Interview

    Applied online. The interview took a couple of hours and was behavioral in nature. Very good folks and very fair questions. The interview was held in a group setting with the hiring manager and a support team that included members of senior management.

    Interview Questions


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