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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

3.1 Rounds average
Average Typical difficulty
44.4% Positive experience

Candidate interview experiences

First-hand accounts from people who interviewed at Raymond James Financial.

Showing 3 of 9
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Raymond James Financial

Compliance Specialist

Legal · more than a year ago

Mid Average Negative experience Decline offer 2 rounds
Interview process
Recruiter call Phone screen
Interview formats
Behavioral Technical

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.

Confirmed questions1 question
  • Have you ever sold Long Term Care Insurance, and if so, which carrier was it?
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Raymond James Financial

Compliance Specialist

Legal

Entry Average Positive experience No offer 2 rounds
Interview process
Recruiter call Take home Onsite Onsite
Interview formats
Behavioral Technical Other

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.

Confirmed questions1 question
  • Can you share an example of a time when you encountered a specific situation and how you handled it?
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Raymond James Financial

Compliance Manager

Legal

Manager Average Negative experience No offer 4 rounds
Interview process
Recruiter call Technical screen Onsite
Interview formats
Behavioral Technical

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.

Confirmed questions1 question
  • 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?

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Describe a situation during a trade review where you suspected a compliance issue. What actions did you take, and what was the result?

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What are your long-term career aspirations, like where do you see yourself in the next decade?

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What's your approach to managing stress in a work environment?

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Did you know about the role and do you possess the background that qualifies you to perform the job?

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Did you have the background to do the skills needed to fill the position?

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Can you share an instance where you encountered a specific situation that required action?

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Formats, difficulty and experience

Across all 9 Raymond James Financial interview reports.

Interview formats

Behavioral 50%
Technical 38.9%
Other 11.1%

Interview difficulty

Easy 22.2%
Average 77.8%
Difficult 0%

Candidate experience

Negative 44.4%
Positive 44.4%
Neutral 11.1%