INTERVIEW GUIDANCE

Reference Guide for Hiring Managers

May 2016
STRICTLY PRIVATE AND CONFIDENTIAL
 INTERVIEW GUIDELINES
ESTABLISH THE  In partnership with your recruiter, to the extent possible, establish a diverse interview panel, representing a range of functions, areas, and
INTERVIEW TEAM approaches, and a diverse candidate slate
(Hiring Manager and  Leveraging this guide, select 2-3 guiding principles – Business Results; Client/ Customer Focus; People Management/ Leadership; Risk and
Recruiter) Controls – to assign to each interviewer based on behaviors required for the role, reflective of the skills/requirements section of the job description.
 Prepare the interview team, making sure they understand the role, provide them with the Guiding Principles and skills you wish them to assess and
discuss how you wish to review feedback on each candidate
 Ensure that you debrief appropriately with your interview team to have the full view of the candidate’s skills and competencies
PREPARATION  Review the candidate’s résumé and job description prior to interview
 Prepare questions relating to the résumé
 Prepare 2-3 competency based questions for each of the 4 core principles. The questions the follow are samples you may draw upon or you may
form your own questions
 Confirm the full interview schedule with your recruiting coordinator and any specific feedback or areas to follow up/probe
STRUCTURE THE  Introduce yourself and your role at J.P. Morgan Chase
INTERVIEW  Let the candidate know what to expect during the interview e.g. “I’ll be asking you about your previous work experiences, and I’d like your answers
to be as specific as possible providing me with examples of specifics situations you have faced. I will be taking notes. Towards the end of the
interview, I will tell you more about the company and the opportunity and I will leave time to answer any questions you may have.”
 Demonstrate professionalism, enthusiasm and passion for the business
 Keep questions short and clear
HOW TO PROBE –  Use open Questions  Closing questions
EFFECTIVE  Tell me about a time when you……  What was the outcome?
QUESTIONING  Describe a time when you……  What did you learn?
 Use appropriate follow up questions to probe answers further  What would you do differently?
 How did you go about it?  Remind candidates not to disclose any confidential business information
 What was your role? from prior employers
STAR PRINCIPLE  Remember the STAR principle for Competency-Based Interviewing:
 Situation – What was the defined situation?
 Task – What were you trying to accomplish?
 Action - What Action did you take? What did you actually do?
 Result – What was the final result?
TELL AND SELL THE  Ask the candidate if they have any questions
CANDIDATE  Promote the benefits of the opportunity and the firm to candidates who impress you
INTERVIEW GUIDANCE

CLOSE THE  Let the candidate know the next steps in the process and, if known, when you will anticipate making a decision
INTERVIEW  Thank the candidate for his/her time
EVALUATE THE  Take notes, as needed, throughout the interview
CANDIDATE  Be objective and non-judgmental
 Provide constructive feedback to the recruiter
 Keep comments specific and job relevant
 Ensure feedback wording is appropriate
 Be aware of what you can legally ask in an interview. Guidance on me@jpmc Manager Hub
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 Suggested
Questions

SAMPLE INTERVIEW QUESTIONS – EXEMPT ROLES

Describe a time when you:

1. Made a (significant) impact on the strategic direction of your organization or department
2. Provided strategic direction to a team.
3. Held a post-mortem after a significant event/issue/error to share lessons learnt and develop enhanced process/controls/best
Business Results practices.
4. Took personal ownership of an issue and drove it through to resolution.
5. Solved a recurring issue using your market knowledge or by implementing a new idea/approach.
6. Changed/developed processes or systems to improve efficiencies, achieve scale, or drive service levels.
7. Made a change to align your work to the business/ function or group strategy (for associate level roles).

Describe a time when you:

1. Identified a way to improve the overall client experience.
2. Anticipated a client issue before it happened.
Client/ Customer 3. Made a decision that a client did not like but one that was in the organization's and clients best interests.
4. Partnered with your colleagues across the firm to deliver a more complete solution for your client.
Focus
5. Influenced your internal partners to deliver against a client request.
6. Shared best practices with another group.
7. At one time or another, we’ve all forgotten to do something important for an internal / external client. Tell me about a time when this
happened to you? What did you forget? Why? What happened?

Describe a time when you:

1. Adapted your communication style to suit the audience you were presenting or communicating to.
People Management/ 2. Managed an underperformer in your team.
Leadership 3. Helped create an environment where different perspectives are valued, encouraged, and supported.
4. Coached a member of the team to make an important decision.
5. Reinforced the firm's values in a difficult situation.

Describe a time when you:

1. Were faced with regulatory requirements/controls processes which made your business goals difficult to achieve.
2. Developed new processes to address an identified risk.
INTERVIEW GUIDANCE

Risk & Controls 3. Escalated a potential issue.

4. Conducted a root-cause analysis of a risk or control issue.
5. Identified a potential risk.
6. Shared 'lessons learned' with your colleagues.
7. Made a decision for which you didn’t have all the pertinent information. Why did you make the decision?

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 Suggested
Questions

SAMPLE INTERVIEW QUESTIONS – NONEXEMPT ROLES

 Evaluation forms have been updated to align to the performance management areas

 Below are sample questions for groups that do not use evaluations or interview guides for non-exempt roles

1. Tell me about your experience in your current role at _______________.

2. Briefly describe how your education and/or work experience will help you be successful in this position.
Business Results 3. Describe how you work through developing a solution for a customer once the problem is identified?
4. Have your previous positions required you to meet performance targets or sales quotas? Describe your approach to reaching
goals and how you measure success.

1. Describe a situation where you remained calm when a customer became upset or flustered?
Client/ Customer 2. Tell me about a time you had an unsatisfied customer. How did you manage the resolution of the issue from start to finish?
Focus 3. Give me an example of when you experienced great customer service. What about that experience made it great?
4. How do you acquire new customers? How do you establish trust and report with them?

People Management/ 1. On a scale from 1 to 10, 10 being high, how would you rate your dependability and give some examples to support your opinion.
2. Tell me about a time when you assisted a team to meet their objectives. What was your role and how did it benefit the team?
Leadership
3. Tell me about a time when you referred a product or service to a customer.

1. Give me an example of a time you had to deal with frequent changes or unexpected events on the job.
Risk & Controls 2. Describe your experience with auditing and your involvement in it in your current or past positions.
3. Give me an example of how you handled a change to a process/procedure that had a customer impact.
INTERVIEW GUIDANCE

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 BUSINESS RESULTS – EXPECTATIONS
ED/MD
 Defines/drives the strategic direction of the
business/function
 Aligns group’s priorities to the broader business/function
strategy
Thinks &
 Drives/supports the execution of the business/function
Acts
agenda
Strategically
 Considers the perspective of regulators, shareholders and
our Board in planning and managing business plans;
applies a global perspective in establishing direction for
team
 Demonstrates a consistent track record, factoring in the
impact of adverse risk/control issues
 Achieves individual and business/function objectives,
including metrics, in accordance with internal/external
Drives
expectations and benchmarks
Results
 Faces facts, acts on issues quickly and learns from
mistakes
 Effectively manages profit/loss, headcount and budget
 Stays abreast of trends and best practices and factors into
approach
 Drives/supports product development and efforts to grow
revenue
Innovates
 Continually identifies process improvements and
efficiencies; eliminates unnecessary bureaucracy
 Challenges the status quo and drives change
INTERVIEW GUIDANCE
VP
 Makes a point to know the LOB, Sub-
LOB/Function and group’s strategy
 Aligns personal/team objectives to
support the business/function strategy
 Delivers business results with both skill
and the appropriate sense of urgency
 Takes ownership of work; to ensure
successful completion of team
objectives
 Demonstrates a solid understanding
and application of
product/industry/market/functional
knowledge
 Keeps current on trends and best
practices and looks for opportunities to
improve internal processes
 Identifies process improvement
opportunities and defines a plan to
implement efficiencies
 Challenges the status quo and
embraces change efforts
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Analyst/Associate
 Makes a point to know the LOB, Sub-
LOB/ Function and group’s strategy
 Aligns personal/team objectives to
support the business/function strategy
 Consistently delivers business results
with the appropriate sense of urgency
 Takes ownership of work; to ensure
successful completion of team
objectives
 Demonstrates a growing
understanding and application of
product/industry/market/ functional
knowledge
 Keeps current on trends and best
practices and looks for opportunities to
improve internal processes
 Reviews processes and procedures to
determine if efficiencies are warranted
 Embraces change efforts
 CLIENT/ CUSTOMER FOCUS – EXPECTATIONS
ED/MD
 Builds/promotes a client/customer centered
organization
 Proactively addresses the needs of
clients/customers and the community
 Leverages experience and market
Builds
knowledge to drive value-added dialogue;
Relationships
viewed as a trusted advisor and/or standout
among competitors
 Balances client/customer needs and best
interests with those of the firm, while driving
a strong control framework
 Coordinates/executes initiatives and
processes in support of business plans
Delivers the Firm  Reaches across the firm, presenting a
unified front to clients taking into account our
range of products/services
INTERVIEW GUIDANCE
VP
 Actively contributes to a client/customer and
service centered organization and culture
 Applies/leverages knowledge, skills and
expertise to support/enhance client
relationships
 Delivers on client/client-related commitments
with the proper sense of urgency
 Balances client/customer needs with those
of the firm
 Asks for and proactively shares best
practices and information internally that lead
to synergies
 Places firm's interests above personal and/or
individual business agenda
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Analyst/Associate
 Actively contributes to a client/customer
and service centered organization and
culture
 Applies/leverages knowledge, skills and
expertise to support/enhance client
relationships
 Delivers on client/client-related
commitments with the proper sense of
urgency
 Asks for and proactively shares best
practices and information internally that
lead to synergies
 Places firm's interests above personal
and/or individual business agenda
 PEOPLE MANAGEMENT AND LEADERSHIP – EXPECTATIONS
ED/MD VP Analyst/Associate
Communicates  Continually communicates clear and  Clearly articulates and
 Leverages business knowledge and technical expertise to challenge compelling messages and priorities to asserts ideas and
assumptions and operating models guide and motivate others contributes to solutions
Provides thought leadership/advice and engages in constructive  Clearly articulates and asserts ideas,  Provides persuasive
debate even if unpopular, and contributes to rationale to support
Communicates clear and compelling messages and priorities to guide solutions ideas
Communicates and motivate others; cascades communications to team  Provides persuasive rationale to support  Actively contributes to a
& Influences Partners & Influences ideas diverse and collaborative
 Promotes partnership by fostering a shared purpose, trust and  Actively contributes to a diverse and working culture across
teamwork across teams, businesses, functions, regions and levels collaborative working culture across groups and levels
 Encourages collaboration, information sharing and discussion to groups and levels
break down silos, create synergies and share best practices
 Acts with authority and influences others to take appropriate action;
drives decisions and manages through conflict and change
 Runs/executes disciplined, integrated performance management and  Leads by example in setting a high  Sets a high performance
compensation processes; maintains oversight of team’s activities performance bar for self and others bar for self and others
 Fosters a culture of open, honest and direct feedback  Regularly asks for and provides direct  Actively seeks out and
Manages  Hires, trains, develops and retains talent feedback provides direct feedback
Performance  Assesses and addresses needs related to staff capability and staffing  Proactively contributes to the  Demonstrates a
levels, focusing on current and anticipated demands; staffs team with development of team members and commitment to acquiring
those who have the appropriate knowledge, skills and experience more junior colleagues new knowledge and
skills
 Promotes an inclusive work environment; respects individuals at  Consistently treats all colleagues with  Consistently treats all
every level and their perspectives, and engages in diversity initiatives, fairness and respect, always considering colleagues with fairness
as appropriate diverse perspectives to get the best and respect
 Exemplifies the highest standards of ethics and integrity outcome  Earns others’ trust and
Demonstrates  Actively participates in extra role respect through
Our Values initiatives (e.g., recruiting, diversity, consistent display of
mentoring, training) integrity and
 Earns others’ trust and respect through
INTERVIEW GUIDANCE

professionalism in all
consistent display of integrity and interactions
professionalism in all interactions

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 RISK & CONTROLS – EXPECTATIONS

ED/MD VP Analyst/Associate

 Promotes a strong control environment to evaluate, manage and  Adheres to risk/control  Adheres to risk/control
conduct new and existing business by adhering to risk/control expectations, procedures, and expectations, procedures, and
expectations, procedures and processes including but not limited to processes including processes including
Demonstrates a
BSA/AML/KYC and fiduciary obligations BSA/AML/KYC BSA/AML/KYC
Robust
 Develops and maintains LOB-specific KYC procedures in compliance  Follows preventative processes  Follows preventative processes
Risk/Control
with the firm’s KYC Program and addresses resource, process, to strengthen the control to strengthen the control
Focus
system and training needs framework and monitor for framework and monitor for
 Develops/supports preventative processes to strengthen the control potential process failures or potential process failures or
framework and monitors for potential process failures or weaknesses weaknesses weaknesses
 Holds self and others to the letter and spirit of the firm’s Code of  Holds self and others to the  Holds self and others to the
Conduct, its policies and related local/international laws/regulations letter and spirit of the firm’s letter and spirit of the firm’s
 Operates within established risk parameters/tolerances, and meets Code of Conduct, its policies Code of Conduct, its policies
Demonstrates
internal/external risk and compliance obligations, including completion and related local/international and related local/international
Expected
of required training for self and team laws/regulations laws/regulations
Risk/Control
 Pursues root-cause analysis of risk and compliance issues and  Operates within established  Operates within established
Behaviors
client/customer complaints risk parameters/tolerances and risk parameters/tolerances and
 Actively partners across LOBs/functions to drive the risk/control meets internal/external risk and meets internal/external risk and
agenda; participates in appropriate control forums compliance obligations compliance obligations
 Understands and applies knowledge of role-related risks (e.g.,  Understands and applies  Understands and applies
Market, Credit, Reputational, Operational, Fiduciary, Investment, knowledge of role-related risks knowledge of role-related risks
Compliance, Conduct) (e.g., Market, Credit, (e.g., Market, Credit,
Identifies,  Utilizes knowledge and lessons learned to proactively consider Reputational, Operational, Reputational, Operational,
Escalates & potential broader risks to the firm, clients/customers and shareholders Fiduciary, Investment, Fiduciary, Investment,
Remediates  Fosters an environment where risk/control issues are escalated and Compliance and Conduct) Compliance and Conduct)
Issues trends are anticipated and identified  Reports/escalates all potential  Reports/escalates all potential
 Remediates regulatory issues and findings (e.g., MRA) in a timely regulatory issues in a timely regulatory issues in a timely
and sustainable manner to and sustainable manner to and sustainable manner to
prevent recurrence prevent recurrence prevent recurrence
INTERVIEW GUIDANCE