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      Raymond James Financial

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      Compliance Officer Interview

      Jan 12, 2022
      Anonymous employee
      Saint Petersburg Beach, FL

      Other Compliance Officer Interview Reviews for Raymond James Financial

      Compliance Officer Interview

      Jan 10, 2019
      Anonymous Interview Candidate
      Declined offer
      Positive experience
      Average interview
      Accepted offer
      Positive experience
      Easy interview

      Application

      I applied through a staffing agency. The process took 6 weeks. I interviewed at Raymond James Financial (Saint Petersburg Beach, FL) in Oct 2018

      Interview

      Two screening calls with HR employees, then did a couple tests - 1 personality. After that was telephone call with potential manager. Next step was in person interview with on site - this was pre Covid so image this has changed. The interview was set up with my potential manager and 3 other executives from manger’s area.

      Interview questions [1]

      Question 1

      Where do you see yourself in 10 years type of thing.
      Answer question

      Application

      I applied online. I interviewed at Raymond James Financial in Oct 2017

      Interview

      The interview was conducted in three stages. First, with the hiring manager who asked usual questions around knowledge of the compliance, experience, motivation for applying and goals. It lasted for about 40 minutes. I was invited back one week later to meet with the senior manager. The final stage was an HR test that covered numeracy and composition of short responses in English.

      Interview questions [1]

      Question 1

      Tell me about a time when you were conducting a trad review and you thought there may be a compliance issue. What did you do and what was the outcome?
      Answer question