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Financial Services Interview Questions

30 interview questions and answers to help you prepare for an interview in the financial services industry.

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Question 1 of 30

At Company ABC we offer many different financial services. Which aspect of financial services are you best versed in?

How to Answer

Walk the interviewer through your expertise that best relates to the business they specialize in. This is where it's important to have searched Company ABC prior to your interview! Be sure to finish by asking the interviewer the services they prefer you be versed in. This way you can overcome any potential objections later.



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30 Financial Services Interview Questions & Answers

  • 1. At Company ABC we offer many different financial services. Which aspect of financial services are you best versed in?

      How to Answer

      Walk the interviewer through your expertise that best relates to the business they specialize in. This is where it's important to have searched Company ABC prior to your interview! Be sure to finish by asking the interviewer the services they prefer you be versed in. This way you can overcome any potential objections later.



      1st Answer Example

      "After researching your website I see that you specialize in Investment and Hedge Fund management. My specialty is definitely Investment management. Is there a certain specialty you are looking for in your next hire?"

      2nd Answer Example

      "I have a wide range of expertise when it comes to financial services. I see that Company ABC is looking for a candidate who brings experience in X, Y, and Z. I have expert level knowledge in all of these areas."

  • 2. At Company ABC we put a lot of value in the continued training of our employees. If you could expand your knowledge in any financial service area, which would you choose?

      How to Answer

      The interviewer would like to know that you would be willing to commit more time to expanding your financial services knowledge. If you were given the opportunity to expand your industry related training, which area would you choose?

      1st Answer Example

      "I really appreciate that Company ABC puts so much emphasis on the education of your employees. If I could choose to further my education in any area of financial services, I would choose to learn more about hedge funds."

      2nd Answer Example

      "I take professional development very seriously and have attended a variety of courses this year including Financial Markets and Products, and Personal Financial Planning II. If I could take another, I would definitely choose to learn more about Personal Financial Planning but taking the Level III course."

  • 3. Talk to me about your post-secondary education and how you feel it will help you in a career with Company ABC.

      How to Answer

      Take a few minutes to walk the interviewer through your post-secondary education. Which aspects of your education do you look forward to applying to your future career with Company ABC?



      1st Answer Example

      "I have a Bachelor's Degree in Accounting with a focus on Financial Law. I feel that the Financial Law aspect will help me immensely in my career with Company ABC because it is a strong major that helped me to understand the effects of all actions in business. It's caused me to strengthen my analytical mind and problem solving capabilities."

      2nd Answer Example

      "My education has been primarily on-the-job training and additional coursework on mutual funds, and RESP's. You will see a full list of my certificates on my resume. In addition to these credentials, I have enrolled in a Financial Planners workshop this fall."

  • 4. When it comes to financial services, which focus do you find the most rewarding?

      How to Answer

      There are so many areas of focus when it comes to financial services. Talk to the interviewer about the areas of finance that you enjoy working on the most. Be sure to acknowledge some areas of focus within Company ABC when you answer this question.

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  • 5. How do you stay on top of new trends in the financial services industry?

      How to Answer

      The interviewer would like to know that your passion for financial services goes beyond your work hours. Do you keep on top of industry news and trends on your off time? Assure the interviewer that you are well immersed in the industry.

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  • 6. As a professional in the financial services industry, you must have great integrity. Do you consider yourself an honest and trustworthy person?

      How to Answer

      Due to the sensitive nature of your work, honesty is a core requirement in everything that you do. Assure the interviewer that you are an honest and trustworthy person, worthy of employment with Company ABC.



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  • 7. Due to the sensitivity of our business, in order to work for Company ABC, you must be able to pass a criminal background check. Are you willing to comply?

      How to Answer

      If you do not have any criminal history, this is an answer that will be very simple and concise. If you do have a criminal history, now is the time to disclose it.



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  • 8. At Company ABC we put great pride in our customer service. How do you ensure that your clients are well taken care of?

      How to Answer

      In which ways do you ensure that your clients are well taken care of? Talk to the interviewer about your customer service skills.



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  • 9. Every employee with Company ABC is expected to be sales-minded and target driven. Walk me through your experience in sales based roles.

      How to Answer

      Briefly take the interviewer through your sales based work history. Be sure to highlight your best results. This is where it is very important to know your sales numbers before walking into your interview.

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  • 10. Tell me about the largest financial portfolio you have been responsible for.

      How to Answer

      Chances are you have gained a lot of momentum through your financial services career; likely being responsible for a larger portfolio every year. Assure the interviewer that you can handle the level of responsibility they are expecting to hand over to you.

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  • 11. Do you have experience in cold calling? If so, tell me about your targets and results.

      How to Answer

      Cold calling, warm calling, prospecting, and building a sales pipeline - these are all tasks generally associated with most financial services roles. Assure the interviewer that you are capable and willing to do what it takes to get the sales results you need!



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  • 12. Aside from your post-secondary degree, what other financial services related training and certifications do you possess?

      How to Answer

      The interviewer would like to know about any financial related designations you may currently have. If you do not have any special designations, are you planning to complete any?



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  • 13. Would you consider expanding your education to include an MBA? Why or why not?

      How to Answer

      Depending on the role you are interviewing for, you may have completed a Bachelors degree in a finance or business related field. Talk to the interviewer about your potential plans for continued education. It's always best to leave the door open for opportunity!

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  • 14. What qualities do you feel a successful manager should have?

      How to Answer

      Some great qualities of a manager are:

      - Being someone who people naturally want to follow
      - Exceptional interpersonal skills
      - Strong relationship building skills
      - Taking ownership for the team's errors and mistakes
      - Excelling at motivating others
      - Providing kudos/recognition to your team
      - Knowing how to select and hire the right people to join the team
      - Having a vision for the future

      These are just a few to get started!

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  • 15. How do you believe your coworkers would describe you?

      How to Answer

      The interviewer would like to know how you are seen by your colleagues. Select approximately three words that truly define who you are. Be sure to choose words that radiate positive thoughts!

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  • 16. How long will it take you to make a meaningful contribution to our team at Company ABC?

      How to Answer

      If you were to be the successful candidate with Company ABC, when do you expect to make a viable contribution to the organization? Talk to the interviewer about your plan to make a fast impact.

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  • 17. How would you rate your performance in this interview so far?

      How to Answer

      This question is meant to create a little bit of stress. If you are not confident and prepared, a question like this will make it very obvious to the interviewer. Give a very honest response!

      If you feel that your performance in the interview is going well: "I believe that this interview has been quite informative and I am happy with my performance. Is there anything that I can clarify for you from this conversation?"

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  • 18. Describe to me a time when you made an error in your current or former position, and the impact your mistake made? How did you correct the error, what did you learn from it?

      How to Answer

      Everyone makes mistakes, and no one is perfect. The interviewer knows that too and is asking this question to see how you handle situations when you make mistakes. Give an example that demonstrates how you took responsibility for your error and fixed it. Also, what you learned from the experience as a result. Sometimes learning from our mistakes allows us to gain some valuable tools.

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  • 19. How do you feel about performance incentives?

      How to Answer

      Many people find that performance incentives can be very motivating and yet others find them to cause anxiety. Talk to the interviewer about your feelings regarding performance incentives and how they may or may not affect your work performance.

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  • 20. Tell me about a time where you had to analyze information in order to make a recommendation.

      How to Answer

      Talk about your attention to detail and sharp focus on data and statistics. If the job requires you to take an analytical approach to solving problems, think back on your experience to offer up an example. Give as much insight into your process to show you are capable of taking an analytical approach to problem-solving.

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  • 21. If you could alter your career path, in any way, what would you change?

      How to Answer

      This question will help the interviewer to understand if you have a long and continued passion for your career. Talk to the interviewer about an alternate career path that you might choose but be sure to keep it related to the position for which you are interviewing.

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  • 22. Company ABC seeks out natural and confident leaders. What leadership qualities do you possess?

      How to Answer

      The interviewer would like to know that you can take on a leadership role even if it is not a formal leadership title that you possess. Everyone has leadership capabilities, whether they come in the form of training a new employee or merely leading by example.

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  • 23. How can Company ABC motivate you on the job?

      How to Answer

      Every employer should know how each of their employees is best motivated. Talk to the interviewer about the variety of ways in which you are best motivated on the job.

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  • 24. Have you ever broken a confidentiality agreement?

      How to Answer

      Companies will have confidentiality agreements for a variety of reasons. These could be to protect their trade secrets or to ensure that you do not bring clients over on the occasion that you leave their company. Talk to the interviewer about your thoughts on confidentiality agreements.



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  • 25. List the top 3 skills that you have acquired in your last role.

      How to Answer

      You have likely gained many valuable skills in your career. Share with the interviewer which skills you value the most. Be sure to include skills that will potentially benefit this potential new employer.



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  • 26. Honesty is of utmost importance to us at Company ABC. Have you ever taken the fall for a situation, where it was really not your fault, in order to protect a coworker?

      How to Answer

      Taking the fall for a situation, in order to protect a coworker, is a tricky situation. It can show teamwork but it may not be the most honest thing to do. Talk to the interviewer about your thoughts on taking the fall for something you did not do.



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  • 27. Accuracy is important to us at Company ABC. Do you always double check or proofread your work?

      How to Answer

      Double checking and proofreading are essential parts of a job well done. Assure the interviewer that you are diligent when it comes to submitting good, clean, work.

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  • 28. Company ABC is looking for employees who are dedicated to their clients. How often do you take work home with you?

      How to Answer

      The majority of people will work overtime hours or take work home with them on occasion. Talk to the interviewer about how frequently you take your work home.



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  • 29. When have you shown a willingness to learn a new method or new approach to solving a problem?

      How to Answer

      It is a great skill to have when you can approach a problem in a new way. Discuss with the interviewer your ability to approach a problem using modern methods.

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  • 30. There will be great days at Company ABC and some days that are tougher to get through. When you suffer a setback, how does that emotionally affect you and your work?

      How to Answer

      Everyone handles the stress and disappointment of setbacks differently. Discuss with the interviewer how you typically cope with delays in the workplace.

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