
Raymond James Financial Compliance Analyst Interview Questions
& Process
Real candidates share what happened, how many rounds they had,
and how the experience turned out.
Based on 9 interview experiences · FREE TO READ
Candidate interview experiences
First-hand accounts from people who interviewed at Raymond James Financial.
Compliance Specialist
I applied online and a few days later got a request for a phone interview. The first call with the recruiter was good; he was friendly and we had a nice back-and-forth conversation with fair, straightforward questions. He said they'd get back to me in a few days. A couple days later, I was asked to speak with the hiring manager. This call was completely different. The manager was almost 10 minutes late and claimed I didn't answer my phone, even though he left no messages and I had no missed calls. It felt more like an interrogation than an interview. He went through my resume line by line with many irrelevant and tacky questions. For instance, after I told him I'd been with the same company for 15 years since college, he asked if I applied for the position back then or was recruited. He was very unpleasant. I figured if he treated a potential employee like that, I could imagine working for him. After the call, I thought about it for a day and then told the recruiter I was no longer interested in pursuing this position.
- Have you ever sold Long Term Care Insurance, and if so, which carrier was it?
Compliance Specialist
I applied online and had a standard HR phone screen where they reviewed my resume and checked if my experience was a good fit. Then, I went in for a timed skills test with English and math questions to assess basic professional competence. Afterward, I met with the hiring manager and two other interviewers. I was called back for a second round to meet with more people, and they told me I was one of the top two candidates. Unfortunately, the position was filled via an automated email. I did reach out to the hiring manager for feedback and received a more personal response than the automated one. The overall experience was positive, with nice people and what seemed like a good work environment.
- Can you share an example of a time when you encountered a specific situation and how you handled it?
Compliance Manager
It was a full day of tests and interviews. Not a lot of clarity in the process, and candidates were all pooled together. It was different for sure.
- Questions asked were awkward and long.
Raymond James Financial Compliance Analyst Interview Questions
Quoted word for word from Raymond James Financial interview reports.
“Have you ever sold Long Term Care Insurance, and if so, which carrier was it?”
Read reports →“Describe a situation during a trade review where you suspected a compliance issue. What actions did you take, and what was the result?”
Read reports →“What are your long-term career aspirations, like where do you see yourself in the next decade?”
Read reports →“How do you handle conflict?”
Read reports →“What's your approach to managing stress in a work environment?”
Read report →“Did you know about the role and do you possess the background that qualifies you to perform the job?”
Read report →“Did you have the background to do the skills needed to fill the position?”
Read report →“Can you share an instance where you encountered a specific situation that required action?”
Read report →“Tell me about a past experience you had where...”
Read report →Formats, difficulty and experience
Across all 9 Raymond James Financial interview reports.