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

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 is your biggest professional fault???

2 Answers

Qualities you offer

1 Answer

Nothing you can't answer. We pretty much shared laughs and talked a little about the job.

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

Am I typically the first person to start talking and taking notes when a team is put in a room together for the first time? Provide an example.

1 Answer

Do you usually stay late to finish a task? Please give an example.

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.

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