Regulatory Interview Questions | Glassdoor

Regulatory Interview Questions


Regulatory interview questions shared by candidates

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How many jellybeans would fit in a 747.

3 Answers

Two jelly beans would definitely fit in a 747. Other than that, I could only give an estimate...

How big are the jelly beans? What an odd question to ask during an interview.....

The number is truly irrelevant. They are just looking to see how you think critically. Specifically they want you to ask questions like: what version of the 747? Are they standard jelly beans? Does it have seats? Does that include the gas tanks or is it only the cabin? Does it have to fly afterwards? Etc etc. Truly the answer could be anywhere between 0 and 2000000000. In case you happen to be wondering 2 years later, there are 13 models of 747 I believe.

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.

1 Answer

What would you do if your superior was making incorrect statements in public?

1 Answer
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