Financial Professional Interview Questions


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Financial Professional Associate was asked...22 November 2011

What would you do if you presented products/services, client was very interested, had no further questions, price was right, and still they did not sign a contract.

4 Answers

i would assure them that this is a risk free product and services or implement a free trail Less

Contracts can be scary because it feels like signing off on a promise for the unknown. Instead of asking why (comes off as offensive/aggressive/negative), asking what their concerns are would be a positive way to address their fears. From there they would be able to have any negatives addressed that may lead to signing. If they still do not sign, then they may just need to talk it over with someone else (spouse, family member, friend) or they need to sleep on it. If they do not sign due to these reasons, then schedule a followup time to call and discuss. Even after addressing their concerns, letting them sleep on it, and letting them talk to their spouse; then you most likely should let them go and ask them to follow up with you when they are ready for these reasons: 1. Any further extensive followup initiated by you would be cost more time when you could be seeking other clients or studying more on how to help your current clients 2. They are misleading with their interests. Meaning even if you did sign them up, the client would need heavy maintenance because they are afraid of following through with the service. Since they are afraid to that extent, that fear would need more continuous support to ease the client’s mind. 3. Continuous followup will come off as a pushy salesman. The pushy salesman vibe comes off as only concerned about the salesman’s money and not the client (Why do you need this sale so badly). 4. Lastly, peaceful manner is encouragement to the client to do the same for theirselves. Practicing what you preach and leading by example. Less

why would you ask why when they were fully satified with the product and services and the price. Less

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Allied Universal

What would you do if you saw someone sleeping on the job? Would you report them or not say anything?

4 Answers

If they were sleeping, I would have to report them to the supervisor because sleeping on the job should not be tolerated and reflects poorly on myself and on the officer if I let it continue. Less

I'd ask the sleeping guard to move over and make room for me cuz I'm tired too.

First i'd check if the officer is feeling okay and that there was no medical issues, then I'd ask him if there were any issues at home causing him to sleep on the job, then I would instruct him to get some fresh air while I cover his post, If It happened again I'd have to report him because he is a bad reflection to the company that we work for and the company that we are representing. In our Position sleeping cannot be tolerated. Less

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American Express

Name a time when you had to tailor a solution for a customer, because your company's current products and services couldn't help them?

4 Answers

Thank you for your information. It was one of the best I have read and I know Amex interview questions are tough at times. (former employee). Less

Thank you for sharing your interview process. It is extremely helpful. I have an interview with Clarissa this afternoon, and honestly didn't even know what the STAR method was until today. I get so nervous during the interview process that I can't really focus on the questions as they come, but this will allow me to have an idea of what will be asked and the best method to answer. Thank You. Less

My girlfriend has her final interview tomorrow. What advice can you give? Can pay be negotiated especially with a good degree? Less

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Why have you chosen to interview with the firm?

3 Answers

We have not interviewed anyone. This review is false.

You have not interviewed anyone? How do you get your "Elite dynamic" staff?

How much do you know about life care planning and its use in litigation?

Actuary Consulting & Recruiting

We need you to answer by tomorrow morning as our classes are filling up and then they moved the class date!

2 Answers

It's within their control to change their dates and you must conform.

This firm has been doing this since 2003. It is run by a certain Hal Butler of Mount Joliet, Tennessee. He sells the exam prep course and claims to be able to place candidates who have passed the first exam. He operates under numerous names as he is quickly identified to be a fraud. I have had his red listed at all local universities where he often attempts to lure unsuspecting students through the on campus career center. I have been in this industry for 13 years now and not once have I heard of a candidate who has been referred by his firm. He has no industry contacts, and is for all practices just selling an exam prep course. Better options for exam prep existed elsewhere. Less

Compass Residential & Consulting

Why did you choose this kind of work?

2 Answers

I chose to work with people that have disabilities because I love working with people where I can help them better enjoy their life and watch them progress toward achieving their goals. Less

I choose this kind of work because I have a passion for caring for individuals that have special needs and I love working with them when I can see them progressing to their goals and knowing I helped them with that. Less


basic PS questions proved that they dont know about PS and i could sense they were taking notes and recording my expert answers

3 Answers

I am seasoned person in this field hence answered by giving them best practices. On the hind side I regret doing that as I just provided a fraud company some free consulting. Less

Hi, Thank you for your feedback and I apologize that you had a negative experience interviewing with our firm. We aim for all candidates have a positive experience, regardless of hiring outcome. I can assure you the intention was not to steal your ideas. We like to have our HR person ask about relevant experience and assess the problem solving skills of candidates to determine suitability for the role. We appreciate your feedback and will incorporate it for future recruiting efforts. Feel free to contact me directly with any further questions/concerns. Kind regards, Conor O’Donoghue Less

Check my LinkedIn profile and see what I don’t have or what I can do to help you scale and grow. Best part is that no chance was given to ask a question. Also it was scripted!!! Pretty lame. Less


Case study: You are a senior project manager with the option to choose one of two clients for your next project: Client A, whose brand A has a very broad customer base consisting of customers who buy Brand A infrequently. Client B, whose brand B has a much smaller but more loyal customer base. If you had enough resources to conduct research for only one brand, which would you pick (and believe will be most successful), and why?

3 Answers

I get Brand B.

My preference would be the smaller but more loyal brand because the research might better identify what contributed to the strong brand loyalty. The broader lower loyalty base probably has a much more diverse set of purchase reasons which may not be as helpful in marketing Less

There's no unique right answer (at least, according to my interviewers), but they want to see your thought-process. Less

Crossover for Work

When should you use waterfall over agile? Never or always, based on some loosely-defined initial assumptions that don't provide enough data to make a sound decision.

3 Answers

(Paraphrasing) When taking over management of a new team, what matters more -- the team satisfaction or the budget? We've all worked for those companies where someone new comes in and half the team quits -- and in that position, every company in the world would gladly trade the budget to get those people back because they then spend more on hiring and retraining new people than the budget savings. Less

If you need help passing the CCAT (hardest part of the process in my opinion) I passed it by studying ruthlessly. I found this site that has EXACTLY the SAME CCAT as crossovers and just took that a bunch of times. CROSSOVERCCAT(dot)COM I recommend this for anyone that has the proctored CCAT coming up. It is the SAME test as CROSSOVER for WORK I woulden’t have been able to pass without it! Less

Mark Mircea Manzarescu I used the same site as the guy above me crossoverccat it helped immensly, im pretty sure its considered cheating but whatever the questions dont have any real life work impact anyway Less


Where do you see yourself in 5 years?

3 Answers

Also a technical manager

Linked in technology

Hopefully will be done with my MBA, managing a team, and have successfully launched a new product line Less

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