Financial Services & Banking – Investment Advisor

Position Name: Investment Advisor

Interviewer

Candidate Name

Interview Date

Introductory Questions

– Interviewer(s) share name, role, tenure, and hand business cards for thank you messages
– Share a brief overview of the company
– Give Candidate the Job Description, highlight Job Purpose, Schedule/Travel, Major Challenges & Key Decisions, and Physical Requirements

Walk us through your professional background.

Behavioral / Situational Questions

– Ask job related questions, based on skills and competencies needed for the role
– Ask open ended questions that allow candidates to tell a story about a specific example
– Ask 5-10 questions based on the role and how much time you have (~3-4 minutes per question)
– Listen for recent examples, details, consistency, the candidate’s role in the story, and teamwork
– Take notes and ask clarifying questions as follow-ups. Follow up questions may include:
- Tell us more about the action you took and the outcome.
- What did you say at that point?
- How did you react to that situation?
- Explain your role in more detail.
- Tell me in detail what steps you took.
- And what was the result?
- Describe the obstacles you faced in getting it done.
- What other options did you consider?
- Why do you think you reacted as you did?
- How do you think others felt about your actions at the time?
- Were you satisfied with the outcome of your actions?
- If the same or a similar situation presented itself, what would you do differently?

Analytical/Detail Orientation

Describe the metrics to which you are held accountable. Why were these metrics chosen?

Situation:

Action:

Result:

We all have had times when we’ve found an error in our work only after it became a problem. When have you found yourself in this situation? How did you resolve the situation? What steps did you take to prevent errors from reoccurring?

Situation:

Action:

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Business Acumen

Describe your experience with both short and long range financial planning.

Situation:

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What global factors impacted your previous company’s business? How did you know?

Situation:

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Customer Focused

Tell me about a recent time when you put the customer’s needs ahead of the company’s needs. What was the situation and how did you handle it?

Situation:

Action:

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Facilitation/Presentation

In a meeting, how do you get each person to participate? Give me an example of when that went well/didn’t go well.

Situation:

Action:

Result:

In facilitating a meeting, tell me about a time you had to alter your approach because your usual method was not effective?

Situation:

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Judgement

Share a success story about balancing personal and professional demands to maintain a healthy balance.

Situation:

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Strategic Thinking

What are two strategic forces impacting your industry? How do you address these in your role?

Situation:

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Candidate’s Questions

– Be sure to leave time for their questions, generally 1-3
– Paint a positive but honest view of the pros and cons of the work and culture

Notes

Closing Questions

– Describe where you are in the process, next steps, and when they can expect to hear back
– Ask if they have any final remarks

What is one thing I should know about you that I haven’t asked?

Interviewer Assessment

Enter your overall assessment about the candidate’s knowledge, skills, abilities, and fit for this position.

Would you recommend this candidate advance in the process?