Financial Services Pre-Employment Assessment Questionnaire
Please complete this assessment to help us evaluate your suitability for a financial services position. Your responses will be kept confidential and used solely for recruitment purposes.
Full Name
*
First Name
Last Name
Email Address
*
example@example.com
Phone Number
*
Please enter a valid phone number.
Format: (000) 000-0000.
Highest Level of Education Completed
*
Please Select
High School Diploma
Associate Degree
Bachelor's Degree
Master's Degree
Doctorate/PhD
Other
How many years of experience do you have in financial services?
*
Which certifications or licenses do you currently hold? (Select all that apply)
*
Certified Financial Planner (CFP)
Chartered Financial Analyst (CFA)
Financial Risk Manager (FRM)
Series 7
Series 63
None
Other
Please rate your proficiency in the following areas:
*
Rows
Beginner
Intermediate
Advanced
Expert
Investment Analysis
1
2
3
4
Risk Assessment
5
6
7
8
Client Relationship Management
9
10
11
12
Financial Planning
13
14
15
16
Regulatory Compliance
17
18
19
20
How would you handle a situation where you suspect a client is engaged in suspicious financial activity?
*
Report the activity to the compliance department immediately.
Discuss with the client before taking any action.
Ignore unless instructed otherwise.
Other
Please rate your agreement with the following statements:
*
Rows
Strongly Disagree
Disagree
Neutral
Agree
Strongly Agree
I am comfortable working in a highly regulated environment.
21
22
23
24
25
I pay close attention to detail in my work.
26
27
28
29
30
I can handle confidential information responsibly.
31
32
33
34
35
I am confident in my ethical decision-making.
36
37
38
39
40
Briefly describe a challenging situation you faced in a financial services role and how you resolved it.
*
Submit Assessment
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