Compliance analyst Interview Questions | Glassdoor

Compliance analyst Interview Questions

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What do you do when you have a client who does not agree with your assessment and you have to please him but also comply with the rules and regulations?

1 Answer

First of all, I will ask him regarding on the practices that currently being practiced by him. I will discuss with him on the posibilities of risk that can be occurred and how he can manage and control it. If the control is adequate enough, I will highlight and report it to the Management regarding his best practices and controls. But if he cannot answer me on the controls on how to mitigate risks that we highlighted before, I will highlight to him the implications and the consiquences of my assessment/finding. Or I will put it in the report and recomend to him whether he will require to comply the procedures or change the company's procedure.

Provide a process improvement example. Which skill set is more important? Critical thinking, effective communication or attention to details

1 Answer

Have you investigated accidents?

1 Answer

You need approval for content from the head of a group but they haven't responded and they are leaving on holiday this afternoon and do not have time to approve/review the content, what would you do?

4 Answers

What does Goldman do?

4 Answers

What experience do I have with AML?

3 Answers

I was asked my the manager the position would report to if I was single or married, had children, lived at home with parents, and where I lived.

3 Answers

How do you stay informed on regulatory changes?

3 Answers

Wanted to know about my industrial safety background.

5 Answers

They asked me about my previous experience

5 Answers
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