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

"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?"

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.

"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."

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?

"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."

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?

"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."

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

"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."

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?

"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."

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

"I find many areas of financial services to be intriguing. After researching your company further, I see that you focus on Capital Market Services and Brokerage Services. I really enjoy working in both areas but primarily Capital Market Services and restructuring debt."

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.

"One of the primary reasons behind my application to your company was that you offer Commercial Services. This is an area or strength for me that I look forward to evolving even further."

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

"I stay on top of financial service trends through a variety of blogs, news sites and financial magazines. My favorite finance news site at the moment is businessinsider.com."

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.

"I believe that it is crucial for me to stay on top of news in the financial services industry if I hope to be a success. I have joined multiple meet up groups to network with industry peers. It has really helped my network and given me insight into how other financial service professionals are making their careers flourish."

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

"I have often been told that I am one of the most trustworthy people out there. In addition to being raised to always make the right choice, I have no fear when it comes do delivering honesty. You are more than welcome to check in with my references as well. They will speak highly of my character."

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.

"Integrity is very important in the financial services industry. Yes, I absolutely consider myself to be honest and trustworthy."

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?

"I do not have a criminal history of any kind and I am happy to comply with any form of background check you require."

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.

"I should disclose to you that I have a mark on my criminal record. I have a DUI from 1998. Since then I have maintained a clean record and I am willing to comply with any form of background check that you require."

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

"In my current position I take many steps to ensuring great customer service. To me, this means having excellent follow up and strong active listening skills. I remember the names of my client's children and I call to congratulate them on milestones. I will keep in touch to update them on new services as well."

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

"I can assure you that, if hired, I would put the customers of Company ABC first. When working in the financial services world, your customers can determine your success. I have a very high referrals rate which tells me that my customers are happy."

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

"I have been in a sales based role for the past 10 years. With Company A, my best year I finished 125% to quota. With Company B, I began from the ground up and left with a portfolio of business worth $$$. In my last position, with Company C, I was the top grossing financial services employee in our branch at 167% to target."

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.

"At this point in my career I do not have a lot of financial sales related experience; however, I am well versed in a variety of business development and cold calling techniques. I fully understand how to build a sales pipeline and see the importance of building a referrals based business."

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

"My responsibilities have always increased over time and in my last position I was responsible for a portfolio of $$$. Can you share with me the size of portfolio that I would be working with here at Company ABC?"

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.

"I am newer to my financial services career and have worked very hard to develop a strong portfolio this past year. Currently my portfolio is worth $$. What size of portfolio would I be responsible for at Company ABC?"

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

"I have experience in cold calling and all other forms of generating new and repeat business. I took a workshop last year on the art of cold calling as well. In my most recent position I made approximately 100 cold calls per week."

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!

"I am new to my career in financial services and sales; however, I have taken an online course focused on cold calling. This course was incredibly helpful and I look forward to meeting and exceeding my targets with Company ABC."

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

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?

"My goal is to gain at least one additional certificate per year. I have achieved XX so far and next year, a course on XX is on my bucket list!"

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

"Although I have my Bachelor's degree in Finance as well as my CFA and FRM designations, I would absolutely consider returning to complete an MBA. Do you encourage continued education for your employees at Company ABC?"

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!

"An MBA is never a bad idea; however, that would be a long term goal for me. At the moment, I am focusing on building my financial services portfolio and gaining additional knowledge through industry related workshops and courses."

What qualities do you feel a successful manager should have?

"I feel that a successful manager should be patient, strive to be a mentor, and be willing to receive constructive feedback from their team. As a manager, I want to have a team that trusts me and comes to me for professional development and coaching."

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 futureThese are just a few to get started!

How do you believe your coworkers would describe you?

"I believe that my coworkers, if asked, would describe me as a reliable person who is always ready to submit the best work possible. My work ethic has never been questioned, and I am very proud with the work that I have submitted in my career, so far."

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!

Here are some other great keywords you could use: - Encouraging - Caring - Knowledgeable - Reliable - Focused - Honest - Assertive - Tenacious - Motivated - Ambitions - Conscientious

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

"I am interested in making an impact on your organization right away and have already crafted a plan to make that happen. I am a very strong business development professional and I plan to take the territory and expand it to include additional rural areas. This should amount to a strong increase in revenue within the first 9 months of my on boarding."

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.

"My plan, if hired by Company ABC, is to make an impact as soon as possible. I have researched this position and am very eager so I have created a 90 day impact plan that I would like to share with you."

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

"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?"

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?"

If you feel that your performance in the interview is not going well: "I am not sure if I have been able to portray myself 100% accurately in this interview; although, I am trying my best. If there is anything more that I can clarify for you I would be happy to do so."

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?

"When I worked as a financial services rep, I accidentally double booked two clients for an appointment in one of the time slots. I realized the mistake after I was double checking my calendar and called the clients right away and apologized for my mistake. As a result of this experience, I always made sure to check the time slots on my calendar twice."

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.

"When starting my current position, I had some struggles with learning Salesforce and let the frustrations get the best of me. I felt like a failure and was ready to give up. Once my boss pulled me aside and reminded me that everyone struggles with brand new technology, I was able to relax. I ended up taking an online course on the program so that I could fast-track my learning and avoid further frustration. What I learned was that only I am responsible for my learning and there are always ways to overcome challenges, if you look for the answers and are prepared to work for them."

How do you feel about performance incentives?

"I feel that performance incentives are a great idea. They keep an employee motivated to do a great job and ensure that they are on top of their KPI's. The majority of people are very enthused about being rewarded for their successes."

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.

"I am prepared to give my best, whether a performance incentive is offered or not. Incentives can be a great idea, but I feel they should not be too simple to achieve. Most sales professionals respond well to a good challenge."

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

"I worked for a financial firm last year and had a client who was looking for investment recommendations. I gathered data on the stocks they were interested in, sorting through trends and historical data to determine the most promising returns."

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.

"As a financial service professional, I am always analyzing information before creating a path of recommendation for my clients. I am highly skilled when it comes to data analysis. My abilities stem from my statistics and analysis related courses while obtaining my Bachelor's degree in finance."

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

"If I could change anything about my career path, I would have stayed in post-secondary studies for longer to upgrade in my field. I feel that this would have given me the advancement I seek now, many years earlier."

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.

"I believe in looking forward, and not back. Every decision that I have made has brought me here so I would not change a thing."

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

"I feel that I am good at motivating a team. Last year, I motivated my sales team every day, through small incentives and awards, and we ended up being the top sales team in the company for the year!"

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.

Some great qualities of a leader 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 to your team - Knowing how to select and hire the right people to join the team - Having a vision for the futureThese are just a few to get you started! With which qualities do you most identify?

How can Company ABC motivate you on the job?

"I am best motivated through words of praise and recognition for a job well done. I do like to know that my efforts are noticed. In my current position, we have a leaderboard, and I do like that concept because it creates a healthy bit of personal competition for me as well."

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.

"I am a natural salesperson, so the best way to motivate me is through performance incentives. In my current position, I have been in the president's club for the past three consecutive years. I am highly motivated by the vacation that I am awarded annually."

Have you ever broken a confidentiality agreement?

"I have never, to my knowledge, broken a confidentiality agreement. Despite my reasons for leaving a position, I would never choose to hurt a previous employer in any way."

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.

"No, I have never broken a confidentiality agreement. I respect my employers, current and past, and highly value being a person of integrity."

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

"In the past few years I was able to upgrade my education while still working full time. The biggest skill that I gained was my ability to multi-task as I worked the dual role of employee and student. I also have strong skills in a variety of Microsoft programs such as PowerPoint and Excel."

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.

"There are many skills I gained in my most recent position as I had a great training program and my boss was a strong mentor. If I had to choose three top skills I would say that the biggest ones were effective multitasking, solid closing skills, and cold calling abilities."

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?

"I do not believe in 'taking the fall' for people based on protecting them. Transparency is always a good idea and if something went wrong then it needs to be addressed in order to prevent it from happening again. When it comes to clients, I will apologize on behalf of the company for errors. In that case, I will do what it takes to protect the company's reputation."

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.

"I will always help a well-meaning co-worker to save face when necessary. With that said, I will not lie in order to save a coworker from the consequences of their mistakes."

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

"Spelling and grammatical errors are a pet peeve of mine. I will triple check my work if there is time! I feel that it is imperative to submit error-free work."

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.

"I do my best to put great work out, at all times. I believe in double checking my work although I must admit that I have fallen victim to the odd mistake like the best of us!"

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

"I make sure to utilize my work hours very efficiently so the only time that I take my work home is when there is an extremely stringent deadline. I would say that, overall, I take my work home maybe twice per month. It's all about being diligent with your time in the office!"

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.

"I take my work home with me anytime I feel that it will give me an edge over my competition, or benefit my clients."

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

"When our company came under new management last year many new methods and policies came into place. I was able to learn many new approaches to our challenges in sales and customer management. I quite enjoyed the process."

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.

"In my current position, I am faced with learning new sales methods and client approaches on a regular basis. I am always the first to embrace these new sales pitches because I truly believe the bigger diversity we can offer our clients, the better."

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?

"Experiencing a setback is always disappointing, and can be a bit disheartening, but I understand that it happens from time to time. If I experience a major setback, I will take a few moments to debrief with my manager and discuss what I could have done differently. Then, I move on!"

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

"Setbacks are tough, but I truly believe that everything happens for a reason. I am a creative person and will always find a way to recover from a setback."

Financial Services Interview Questions

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1. At Company ABC we offer many different financial services. Which aspect of financial services are you best versed in?
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?
3. Talk to me about your post-secondary education and how you feel it will help you in a career with Company ABC.
4. When it comes to financial services, which focus do you find the most rewarding?
5. How do you stay on top of new trends in the financial services industry?
6. As a professional in the financial services industry, you must have great integrity. Do you consider yourself an honest and trustworthy person?
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?
8. At Company ABC we put great pride in our customer service. How do you ensure that your clients are well taken care of?
9. Every employee with Company ABC is expected to be sales-minded and target driven. Walk me through your experience in sales based roles.
10. Tell me about the largest financial portfolio you have been responsible for.
11. Do you have experience in cold calling? If so, tell me about your targets and results.
12. Aside from your post-secondary degree, what other financial services related training and certifications do you possess?
13. Would you consider expanding your education to include an MBA? Why or why not?
14. What qualities do you feel a successful manager should have?
15. How do you believe your coworkers would describe you?
16. How long will it take you to make a meaningful contribution to our team at Company ABC?
17. How would you rate your performance in this interview so far?
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?
19. How do you feel about performance incentives?
20. Tell me about a time where you had to analyze information in order to make a recommendation.
21. If you could alter your career path, in any way, what would you change?
22. Company ABC seeks out natural and confident leaders. What leadership qualities do you possess?
23. How can Company ABC motivate you on the job?
24. Have you ever broken a confidentiality agreement?
25. List the top 3 skills that you have acquired in your last role.
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?
27. Accuracy is important to us at Company ABC. Do you always double check or proofread your work?
28. Company ABC is looking for employees who are dedicated to their clients. How often do you take work home with you?
29. When have you shown a willingness to learn a new method or new approach to solving a problem?
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?

Financial Services Interview Questions

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

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?

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

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

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

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

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?

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

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

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

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

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

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

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

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

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

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

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?

19. How do you feel about performance incentives?

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

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

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

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

24. Have you ever broken a confidentiality agreement?

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

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?

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

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

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

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?