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Working at FINRA

FINRA (Financial Industry Regulatory Authority) is a private self-regulatory organization in the United States. The mission of FINRA is to protect investors by monitoring and making sure that the United States securities industry is operating fairly and honestly.

If you are interested in applying for one of the many available FINRA jobs, there are several areas of their hiring process which you would be wise to prepare for. The FINRA hiring process will often include:

  • Online Application: To complete the FINRA application process, you will need to visit the FINRA careers webpage. After you have registered an new user account and have selected a suitable position you will be prompted to upload your resume.
  • Initial Interview: Depending on the role and your location, you may be invited to participate in either a phone interview or video conference interview. The purpose of the initial interview is for further screening of applicants prior to having them progress to the next stage in the recruitment process.
  • Assessment Tests: Regardless of if you have applied for a FINRA internship or for a professional role, you may be required to take a pre-hire aptitude test.
  • Personal Interviews: During the FINRA interview process you will likely be interviewed before a panel.

FINRA CCAT Assessment Test

The CCAT or Criteria Cognitive Aptitude Test was designed to evaluate your problem-solving abilities, skill-learning capabilities, and critical thinking skills. This test consists of 50 questions that will need to be answered in a 15-minute time limit. It is comprised of three question categories—math and logic, verbal ability, and spatial reasoning.

With JobTestPrep’s exclusive CCAT-style preparation materials, you will have all of the tools you will need to boost your chances for success. From our CCAT-style practice tests and study guides to online interview simulations brimming with expert tips and advice, you will have the ability to come out on top.

Start practicing with JobTestPrep to launch your new career at FINRA.



FINRA Interview Process

The questions that you will be expected to answer during the FINRA recruitment process will be mostly of a behavioral and technical nature. You will find many examples of job interview questions taken directly from applicants who have posted to the FINRA Glassdoor webpage:

  • Why would you like to work for FINRA?
  • Describe a time where you had to work with a challenging person.
  • What makes you the best candidate for this role?

We recommend using the STAR (Situation, Task, Action, Result) method to structure your responses to behavioral questions.


NASD Regulation, Inc.


FINRA, CCAT, Microsoft, and other trademarks are the property of their respective trademark holders. None of the trademark holders is affiliated with JobTestPrep or this website.

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