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Angel One Compliance Associate Interview Questions and Answers

Updated 5 Jun 2022

Angel One Compliance Associate Interview Experiences

1 interview found

Compliance Associate Interview Questions & Answers

user image Anonymous

posted on 2 Jun 2022

I applied via Naukri.com and was interviewed in Dec 2021. There were 3 interview rounds.

Round 1 - Resume Shortlist 
Pro Tip by AmbitionBox:
Keep your resume crisp and to the point. A recruiter looks at your resume for an average of 6 seconds, make sure to leave the best impression.
View all tips
Round 2 - One-on-one 

(3 Questions)

  • Q1. Details regarding the recent circular SEBI/Exchange has released.
  • Ans. You must always visit the company's website for latest updates/news on capital markets or you can check in the circulars tab on SEBI's website (sebi.gov.in)
    • Answered Anonymously
    View 2 more answers
  • Q2. What's your experience in handling SEBI /Exchange inspection.
  • Ans. 

    I have experience in handling SEBI/Exchange inspections and ensuring compliance with regulations.

    • I have worked closely with SEBI and Exchange officials during inspections.

    • I have ensured that all necessary documents and records are readily available for inspection.

    • I have conducted internal audits to identify and address any potential compliance issues.

    • I have implemented policies and procedures to ensure ongoing complian...

    • Answered by AI
    Add your answer
  • Q3. Why do you want to join Angel One
    • Add your answer
Round 3 - One-on-one 

(2 Questions)

  • Q1. What are the Laws applicable for a stock broker
  • Ans. 

    Laws applicable for a stock broker

    • Securities and Exchange Board of India (SEBI) Act, 1992

    • Securities Contracts (Regulation) Act, 1956

    • Depositories Act, 1996

    • Prevention of Money Laundering Act, 2002

    • Foreign Exchange Management Act, 1999

    • Income Tax Act, 1961

    • Answered by AI
    Add your answer
  • Q2. Have you got any experience in filing or reporting of submissions to regulators
  • Ans. 

    Yes, I have experience in filing and reporting submissions to regulators.

    • I have worked on various compliance projects where I had to file and report submissions to regulators.

    • I am familiar with the regulatory requirements and guidelines for filing and reporting.

    • I have experience in preparing and submitting regulatory reports and filings on time.

    • I have also worked on remediation projects where I had to file and report c...

    • Answered by AI
    View 1 more answer

Interview Preparation Tips

Interview preparation tips for other job seekers - Be confident while you speak.
Ask questions related to your role which you've applied for.
Do not hesitate to say No, if you don't know the answer to any particular question.

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Oxane Partners
Disappointing Interview Experience with D.E. Shaw
I recently interviewed with D.E. Shaw, and it turned out to be one of the most draining experiences I’ve had. The interviewer’s approach felt unnecessarily harsh and dismissive, which made the entire process uncomfortable. At multiple points, the interviewer asked me to drop off the call, even when I tried asking basic questions about the designation, job description, and other details. After the interview, I found myself sitting there for a few minutes, trying to process what just happened. It left me questioning the overall tone and professionalism of the interview. Definitely not the experience I was expecting from such a well-known firm.
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Interview questions from similar companies

Senior Compliance Analyst Interview Questions & Answers

Razorpay user image Anonymous

posted on 10 Apr 2021

I applied via Recruitment Consultant and was interviewed in Mar 2021. There were 4 interview rounds.

Interview Questionnaire 

1 Question

  • Q1. What is the job profile. How you managed the emergency or critical time managed all the work. How did you handle people management?
    • Add your answer

Interview Preparation Tips

Interview preparation tips for other job seekers - Be confident your answer. Should be understandable what you're saying. Which position you applied should know.
If don't have proper answer manage your answer near to question.
More about working at Angel One

Angel One Interview FAQs

How many rounds are there in Angel One Compliance Associate interview?
Angel One interview process usually has 3 rounds. The most common rounds in the Angel One interview process are One-on-one Round and Resume Shortlist.
What are the top questions asked in Angel One Compliance Associate interview?

Some of the top questions asked at the Angel One Compliance Associate interview -

  1. Have you got any experience in filing or reporting of submissions to regulat...read more
  2. What's your experience in handling SEBI /Exchange inspecti...read more
  3. What are the Laws applicable for a stock bro...read more

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Angel One Compliance Associate Salary
based on 4 salaries
₹3.2 L/yr - ₹4 L/yr
44% less than the average Compliance Associate Salary in India
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Angel One Compliance Associate Reviews and Ratings

based on 2 reviews

4.0/5

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4.6

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3.0

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3.0

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