{ "search-interviewsNoData_300x250_right": {"name": "search-interviewsNoData_300x250_right","id": "div-AdSlot-ldvk2pqb","width": "300","height": "250"} }
{ "name": "search-interviewsNoData_300x250_right", "id": "div-AdSlot-ldvk2pqb", "fluid": true }
{ "name": "search-interviewsNoData_728x90_bottom","id": "div-AdSlot-BL","width": "728","height": "90", "formFactors": "desktop,tablet" }
Compliance examiner Interview Questions
53
Compliance Examiner interview questions shared by candidates
Senior Compliance Examiner was asked...7 June 2015
Compliance Examiner was asked...6 July 2012
Compliance Examiner was asked...10 October 2016
Compliance Examiner was asked...27 June 2020
Compliance Examiner was asked...14 January 2016
Compliance Examiner was asked...18 August 2015
Securities Compliance Examiner/Staff Accountant was asked...24 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↳
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...1 September 2015
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↳
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