Regulatory Analyst Interview Questions | Glassdoor

Regulatory Analyst Interview Questions

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Regulatory analyst interview questions shared by candidates

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How you handle pressure?

1 Answer

Give example and tell what you do to handle pressure?

How do you perform multi tasking?

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-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

Asked about my lack of formal business education

Tell us about your past work experience? Describe how you worked through a problem at your previous employer

Would you consider relocating for this position? How would your commute be if you did not relocate?

Why did you decide to apply for this role?

Describe a time where you had to make a difficult decision in a short period of time.

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