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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

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 Resume 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
  • 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
  • Q3. Why do you want to join Angel One
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
  • 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

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.

Interview questions from similar companies

Interview experience
4
Good
Difficulty level
Moderate
Process Duration
2-4 weeks
Result
No response

I applied via LinkedIn and was interviewed in Oct 2023. There were 2 interview rounds.

Round 1 - HR 

(1 Question)

  • Q1. Strength and weakness
Round 2 - Technical 

(1 Question)

  • Q1. Private equity waterfall

Interview Preparation Tips

Topics to prepare for ICICI Direct Senior Associate interview:
  • Investment Banking
  • Hedge Funds
  • Private Equity
Interview experience
1
Bad
Difficulty level
Easy
Process Duration
Less than 2 weeks
Result
No response

I applied via Job Portal and was interviewed in May 2024. There were 3 interview rounds.

Round 1 - One-on-one 

(1 Question)

  • Q1. Self introduction
Round 2 - Assignment 

PPT Assignment comparing all APIs

Round 3 - One-on-one 

(1 Question)

  • Q1. Domain knowledge

Interview Preparation Tips

Interview preparation tips for other job seekers - The HR is non responsive. After spending 3-4 days completing the assignment, traveling to their office for a final round they don't even have the courtesy to give the candidate proper feedback. I followed up every 3 days and after 2 weeks they just dropped me a message saying that I'm not selected without even giving any feedback.
Interview experience
4
Good
Difficulty level
Moderate
Process Duration
2-4 weeks
Result
Selected Selected

I applied via Naukri.com and was interviewed before Apr 2022. There were 2 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 Resume tips
Round 2 - Technical 

(2 Questions)

  • Q1. What is financial budgeting and analysis
  • Ans. 

    Financial budgeting and analysis involves creating and managing a financial plan to achieve business goals.

    • Financial budgeting involves creating a plan for income and expenses over a specific period of time.

    • Financial analysis involves reviewing financial data to identify trends, opportunities, and potential risks.

    • Both budgeting and analysis are important for making informed financial decisions and achieving business ob...

  • Answered by AI
  • Q2. Talk about the topic and also highlight the best practices you use.
  • Ans. 

    The topic is best practices for senior associates.

    • One best practice is to prioritize tasks and manage time effectively.

    • Another best practice is to communicate clearly and effectively with team members and clients.

    • A third best practice is to continuously learn and stay updated on industry trends and developments.

    • Additionally, building strong relationships and networking with colleagues and clients is crucial.

    • Lastly, att...

  • Answered by AI
Interview experience
4
Good
Difficulty level
-
Process Duration
-
Result
-
Round 1 - Aptitude Test 

Numerical logical round with market related questions

Round 2 - One-on-one 

(1 Question)

  • Q1. Call put strategies

Interview Preparation Tips

Interview preparation tips for other job seekers - Tough mathematical understanding of market is required
Interview experience
4
Good
Difficulty level
-
Process Duration
-
Result
Selected Selected
Round 1 - One-on-one 

(1 Question)

  • Q1. The interview was really smooth, every aspect was discussed clearly from expectations, learning, to growth
Interview experience
4
Good
Difficulty level
Moderate
Process Duration
2-4 weeks
Result
Selected Selected

I applied via Referral and was interviewed before Dec 2023. There were 2 interview rounds.

Round 1 - Aptitude Test 

Aptitude test and reasoning test very simple

Round 2 - Technical 

(2 Questions)

  • Q1. What is NSE ans BSE
  • Ans. 

    NSE and BSE are the two main stock exchanges in India, where companies list their shares for trading.

    • NSE stands for National Stock Exchange and BSE stands for Bombay Stock Exchange

    • Both NSE and BSE facilitate trading of stocks, derivatives, and other financial instruments

    • Companies list their shares on NSE and BSE to raise capital from investors

    • NSE is headquartered in Mumbai while BSE is also located in Mumbai

  • Answered by AI
  • Q2. What is stock market,all technalities if stock market, read basic things about stocks market

Interview Preparation Tips

Interview preparation tips for other job seekers - Always ready about company before attempting interview
Interview experience
4
Good
Difficulty level
-
Process Duration
-
Result
-
Round 1 - HR 

(1 Question)

  • Q1. Tell me about you
  • Ans. 

    I am a dedicated and experienced professional with a strong background in leadership and team management.

    • Over 5 years of experience in retail management

    • Proven track record of increasing sales and improving customer satisfaction

    • Strong communication and problem-solving skills

    • Ability to motivate and lead a team towards achieving goals

  • Answered by AI
Interview experience
4
Good
Difficulty level
Moderate
Process Duration
Less than 2 weeks
Result
Selected Selected

I applied via Campus Placement and was interviewed in Jan 2024. There were 2 interview rounds.

Round 1 - HR 

(1 Question)

  • Q1. Introduction , knowledge about capital market
Round 2 - Case Study 

Nothing as such just basic

Interview Preparation Tips

Interview preparation tips for other job seekers - Uat Testing
Interview experience
5
Excellent
Difficulty level
-
Process Duration
-
Result
-
Round 1 - Technical 

(1 Question)

  • Q1. Explain OOPS Concept ?
  • Ans. 

    OOPS (Object-Oriented Programming) is a programming paradigm based on the concept of objects, which can contain data and code.

    • OOPS focuses on creating objects that interact with each other to solve problems.

    • It involves concepts like classes, objects, inheritance, polymorphism, and encapsulation.

    • For example, a class 'Car' can have objects like 'Toyota', 'Honda', etc., each with their own properties and methods.

    • Inheritan...

  • Answered by AI
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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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4.0/5

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4.5

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3.0

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