Compliance examiner Interview Questions

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Compliance Examiner interview questions shared by candidates

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Santander
Compliance Examiner was asked...10 October 2016

What are the best and worst traits about you?

1 Answers

Best: Attention to detail Worst: Being so new to compliance, not having enough experience Less

FINRA

Name an instance where you had to do something unpopular at work.

1 Answers

I told about the time I had to defend a guy that was falsely accused of wrongdoing, but the managers wanted to find something against him anyway, and I refused. Less

FINRA

Q: How comfortable are you with writing, and having your work edited?

1 Answers

A: I advised them that I was very comfortable with writing edits and referenced my law school experiences in which edits were commonplace Less

The Chicago Stock Exchange

What would you do if....

1 Answers

Answer as if you are SEC

National Futures Association

Why do you want to work at NFA?

1 Answers

I outlined my reasons, explaining that I had spoken to past & present NFA staff, who encouraged me to apply, based on the positive experiences that they had at NFA. Less

FINRA

Are you willing to travel up to 40% of the time?

1 Answers

Yes

SEC

You will be asked about specific SEC rules. It's helpful to be up to speed on recent rules and the the regulatory framework for the program in which you are interviewing.

1 Answers

Hi, I just applied for a Staff Accountant Position. I am hoping to be granted an interview. Can you expound on the interview questions in regards to the SEC rules. Is the expectation just the general rules? Any feedback would be great. Less

FINRA

Give an example of a time when you faced an ethical dilemma, how did you handle it?

1 Answers

I gave an example using their acronym "s.t.a.r." (situation, task, action, result) Less

National Futures Association

Describe a time when you had to take ownership of a project, what did you have to do? What was the outcome?

1 Answers

I explained a specific instance in my prior work history where I had to manage a project related to an audit. I highlighted that I had to create systems and manage workflow related to the project and that the result was an outcome that exceeded expectations. Less

FINRA

Tell us a time when you disagree with a decision made from higher up.

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