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Angel One Compliance Associate Interview Questions and Answers
Angel One Compliance Associate Interview Experiences
1 interview found
Anonymous
I applied via Naukri.com and was interviewed in Dec 2021. There were 3 interview rounds.
(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)
- 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...
- Q3. Why do you want to join Angel 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
- 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...
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Do not hesitate to say No, if you don't know the answer to any particular question.
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Selected
I applied via Naukri.com and was interviewed before Apr 2022. There were 2 interview rounds.
(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...
- 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...
Selected
(1 Question)
- Q1. The interview was really smooth, every aspect was discussed clearly from expectations, learning, to growth
Numerical logical round with market related questions
(1 Question)
- Q1. Call put strategies
Interview Preparation Tips
I applied via Job Portal and was interviewed in May 2024. There were 3 interview rounds.
(1 Question)
- Q1. Self introduction
PPT Assignment comparing all APIs
(1 Question)
- Q1. Domain knowledge
Interview Preparation Tips
I applied via LinkedIn and was interviewed in Oct 2023. There were 2 interview rounds.
(1 Question)
- Q1. Strength and weakness
(1 Question)
- Q1. Private equity waterfall
Interview Preparation Tips
- Investment Banking
- Hedge Funds
- Private Equity
I applied via Company Website and was interviewed before Sep 2020. There were 5 interview rounds.
Interview Questionnaire
1 Question
- Q1. Asked about some general things related to trading and stock market.
Interview Preparation Tips
I applied via Walk-in and was interviewed before Feb 2021. There was 1 interview round.
(1 Question)
- Q1. How much u gain product knowledge and market knowledge in your previous company it will be tested in technical round and your interpersonal skill also.
Interview Preparation Tips
I applied via Recruitment Consulltant and was interviewed before Feb 2021. There were 2 interview rounds.
(1 Question)
- Q1. What are your salary expectations?
Interview Preparation Tips
I applied via Company Website and was interviewed in Aug 2020. There was 1 interview round.
Interview Questionnaire
2 Questions
- Q1. On capital market and financial institutions
- Q2. What is market cap of Indian stock market
- Ans.
The market cap of Indian stock market is constantly changing based on the performance of the companies listed on the stock exchange.
Market cap is the total value of all the shares of companies listed on the stock exchange
It is calculated by multiplying the total number of outstanding shares by the current market price of each share
As of August 2021, the market cap of Indian stock market is around $3.2 trillion
The marke...
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Angel One Compliance Associate Reviews and Ratings
based on 2 reviews
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