Regulatory Interview Questions | Glassdoor

Regulatory Interview Questions

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How would you correct a compliance issue that stemmed from actions taken by managers you work with?

1 Answer

All employees are subject to compliance rules and need to responsibly perform their job functions within acceptable parameters and their actions must be monitored for compliance issues. Corrective actions would be necessary corresponding in size or degree of the perceived violation.

How many jellybeans would fit in a 747.

3 Answers

What is your biggest professional fault???

2 Answers

Asked by a Senior VP: "With every person we hire, it dilutes down everyone's shares, including mine, and I have a lot. That said, why should we hire you?".

2 Answers

What was your greatest accopmplishment at a specific job?

1 Answer

3 Strengths and Weaknesses.

1 Answer

No questions were difficult. VP did say that the role may be relocating to western MA-so from a relo stand point, any candidate would have to move more than once to keep job.

1 Answer

Do you have experience with FDA meetings.

1 Answer

None that come to mind. Question were mainly based off of my resume and work experience.

1 Answer

-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
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