Registered client associate Interview Questions

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Registered Client Associate interview questions shared by candidates

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UBS
Registered Client Service Associate was asked...17 September 2015

What do you know about UBS?

1 Answers

I told them everything I knew from looking them up.

Ameriprise

What is the biggest mistake you made in your last role, and how did you handle it?

1 Answers

Honestly.

Merrill Lynch

Tell me a little about yourself. Went over my resume and asked about my background. Client relationship questions.. Tell me a time when....

1 Answers

I went over my background and gave scenarios where I went above and beyond for clients. Also emphasized I love the investment industry. Less

Merrill Lynch

Describe your ideal client and bring us through the process from beginning to end on how you prospected them and then made a plan for them.

1 Answers

How I prospect, and how I get to know their situation individually.

Merrill Lynch

What experience has prepared you best for this position?

1 Answers

I spoke about my time as a supply manager that followed up on paperwork that would take several days to process, managing small details to ensure that laws and regulations were abided by, and also spoke about client interaction in previous jobs that worked towards a relationship built on mutual trust. Less

Bank of America

How would you deal with a boss/financial advisor with a difficult personality (when you are working for more than one)?

1 Answers

If you cannot resolve the issue by managing the personalities yourself, take the issue to management. Less

Morgan Stanley

What do you think of current stock market environment?

1 Answers

I would related someone of relevance to the day or previous day that had some headline impact on things. Less

Wells Fargo

Why do you think you'll be successful in this role? Tell me a time you dealt with a difficult situation for a client and it turned out positive? How do you preform under pressure? What is your experience with dealing with ultra high net worth individuals? etc.

1 Answers

I researched the questions and practice my answers in the car on the commute home from work. My interview process was stressful, but I won the room. I asked them questions that I think caught their attention. How do I measure my performance for the first three months in this role? What is the culture like in the office? What would be my number one priority in this role in the first year? Then the second? Less

Morgan Stanley

Why do you want this job?

1 Answers

I want to learn about wealth management and make an impact.

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