Regulatory interview questions shared by candidates
How would you correct a compliance issue that stemmed from actions taken by managers you work with?
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.
-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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