Compliance Examiner Interview Questions

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Compliance Examiner interview questions shared by candidates

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Senior Compliance Examiner was asked...7 June 2015

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

1 Answers

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

Compliance Examiner was asked...6 July 2012

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

1 Answers

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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

Compliance Examiner was asked...10 October 2016

What are the best and worst traits about you?

1 Answers

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

Compliance Examiner was asked...28 June 2020

What would you do if....

1 Answers

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Answer as if you are SEC

Compliance Examiner was asked...14 January 2016

Why do you want to work at NFA?

1 Answers

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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

Compliance Examiner was asked...19 August 2015

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

1 Answers

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Yes

Securities Compliance Examiner/Staff Accountant was asked...25 January 2013

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

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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

Compliance Examiner was asked...2 September 2015

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

1 Answers

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

Compliance Examiner was asked...6 April 2017

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

1 Answers

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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

Compliance Examiner was asked...18 June 2013

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

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Compliance Examiner Interview Questions

54

Top Interview Questions

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

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

What are the best and worst traits about you?

What would you do if....

Why do you want to work at NFA?

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

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.

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

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

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

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