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Stock Broker Interview
Questions

31 Questions and Answers by Rachelle Enns

Updated August 17th, 2018 | Rachelle is a job search expert, career coach, and headhunter
who helps everyone from students to fortune executives find success in their career.
Question 1 of 31
Why are you the best candidate for us?
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How to Answer
Being competitive and confident are big parts of being a successful as a Stock Broker. Show the hiring manager that you able to be just that! What are your star qualities, and why do you think that you will be the best fit?
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Top 30 Stock Broker Interview Questions with Full Content
1.
Why are you the best candidate for us?
Being competitive and confident are big parts of being a successful as a Stock Broker. Show the hiring manager that you able to be just that! What are your star qualities, and why do you think that you will be the best fit?

Rachelle's Answer
"I know that I am the strongest candidate for you because I graduated top in my class. I have top marks in my MBA program so far and have consistently shown my abilities as a leader. In addition to this, I have a very strong history of sales success in previous positions. I am fluent in Cantonese which will also help me tap into that client base very easily."
2.
What are your short-term career goals?
If the hiring manager is aware of your short-term career goals, they will better be able to align your goals with the right position within their company. The stronger their understanding of your needs, the better. Be concise in your answer but specific.

Rachelle's Answer
"In the next 2 years I aim to have my MBA completed so that I can move up in my career, handling more valuable clients and more in depth financial cases."
3.
Have you worked in sales before?
Bring your resume to life for the hiring manager, including your sales experience and results. Be sure to discuss how you feel that these experiences will help you in this role, should you be the successful candidate.

Rachelle's Answer
"I have worked in sales for most of my career. I began in high school, selling magazine subscriptions door to door in residential neighborhoods. After graduating from high school, I worked part time as a bank teller while attending university. This role required strong up-selling skills. Since completing university, I have worked my way up in the banking world, always within a sales focused role."
4.
How do you conduct research on companies and markets?
Do you spend a lot of time conducting research on industry changes and market trends? Talk to the hiring manager about the tools that you utilized most frequently in order to ensure you are on top of the stock market game.

Rachelle's Answer
"In order to stay on top of my market research, I take an hour every morning before the work day begins. I scour my Google Alerts for any new keyword updates. I also follow a variety of RSS feeds and newsletters including BDC Market Research, MarketSmith and MarketWatch. In addition to this, I also subscribe to all newsletters from the top Economists from a variety of financial institutions."
5.
What qualities do you feel are essential to being a successful stock broker?
Looking back at the Stock Brokers who have mentored you and helped to shape your career - what common qualities and characteristics to they have? Talk to the hiring manager about the characteristics that you have admired most in your mentors and be sure to let them know that, you too, possess these great qualities.

Rachelle's Answer
"Throughout my journey to becoming a Stock Broker, I have had many amazing mentors and teachers. I quickly learned that the most essential qualities to success as a Stock Broker are integrity, attention to detail, and willingness to adapt. I have spent a lot of time working on these qualities and incorporating them into my every day work habits."
6.
What do you know about our firm?
Prior to interviewing, it is imperative that you conduct enough research on the interviewing organization that you can talk about their internal structure, any awards or recognition they have received, and how you feel you will fit with their company culture. Research multiple sources (website, google, glassdoor.com) as well.

Rachelle's Answer
"I was familiar with your firm prior to my interview but have conducted more in-depth research since being invited for an interview. I understand your structure quite well and really appreciate the time and funds your organization puts back into the community through your variety of charities. Your employees seem to have great things to say, and I was happy to see that you ranked as one of the top rated employers in the financial sector. All very impressive!"
7.
Take me through a recent portfolio you have won over.
Help the hiring manager to understand some of your current work and responsibilities. Talk to them about a more complicated portfolio that you are responsible for.

Rachelle's Answer
"Recently, I acquired a large portfolio through a strong referral source. This particular client owns multiple businesses, properties, and has some offshore interests. I am sure to nurture this account regularly as it, alone, makes up for 15% of my total client portfolio."
8.
Tell me something about yourself that I wouldn't know from reading your resume.
Share a little something about yourself that is not on your resume. Make it unique and be sure to tie this bit of knowledge back into the interview.

Rachelle's Answer
"Something that you would not know from reading my resume is that I was a competitive rugby player throughout high school. I feel that this athletic experience really helped me to learn how to compete in a healthy way, and set personal goals."
9.
What are your current responsibilities as a stock broker?
Speak to the hiring manager about your current, or most recent role, quickly outlining your primary responsibilities. If the interviewer would like further detail, they will ask you to elaborate.

Rachelle's Answer
"My current responsibilities as a stock broker include managing a large portfolio of personal finance clients. I constantly spend time researching the financial markets, consulting our investment analysts and reporting to my clients. I monitor my clients’ investments, and also pitch for new clients."
10.
Give me an example of a time you successfully handled a high pressure situation.
Talk to the hiring manger about a time when you have displayed a strong ability to handle stressful situations. You should use a recent example, if possible, and be sure to talk about the positive outcome of your actions.

Rachelle's Answer
"As a Stock Broker, I am exposed to many high-stress situations on a regular basis. One of the most high pressure situations that I can think of was just last month. One of my largest accounts wanted to take his portfolio elsewhere, as he had a friend who recently finished his MBA and was joining a competing firm. There was a lot of pressure on me to save his business. We met, and I helped him to see that, friendship aside, our firm was the best choice for him. Losing his business would have had a huge impact on my portfolio so I was incredibly relieved to have saved it."
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