Regulatory Analyst Interview Questions | Glassdoor

Regulatory Analyst Interview Questions


Regulatory analyst interview questions shared by candidates

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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)

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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.

How do you perform multi tasking?

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How you handle pressure?

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It was actually hard to answer where I saw myself in ten years - I am often asked about five in interviews, but I really got stumped by this relatively innocuous question as applied to a longer timeframe.

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Describe a time you used your writing and communication skills to get something done.

4. Are you a logical or out of the box thinker?

Tell me about your background and how it relates to this position and what you are doing now.

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5. Are you a conservative person or a risk taker?

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

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