Compliance associate Interview Questions

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.

I would ask the group head for someone s/he appoints to approve/review the content in their absence.

Go meet them in person or set up a meeting

I would ask the head "Just in case I need some very important contents that need to be looked at and approved. In the case you are not available is there some with your approval I can reach out to"

Advising Investments Financing Securities Servers

Services

Win win win no matter what

Discussed various projects at current role.

No experience required! 200 Park Urban Campus recently promoted an entire department at the same time, regardless of tenure, knowledge or professionalism.

I do not have experience with AML. However, I am a fast learner who is willing and eager to learn about AML to enhance my work performance at the job

I subscribe to email alerts from the regulatory banking agencies (FDIC, OCC, CFPB, FRB) and from two legal firms (Scudder LawGroup and Buckey Sandler).

Search the respective notificatios from the Authorities regularly

It means the changes made or proposed to be made by the regulatory authorities including the Government and the Company

Are you a felon? Why did they withdraw the offer?

Not a felon. That was the bad part, they would only say something on your background. Nothing specific, even when I tried to press them. My passport was already in Houston to have my work permit attached last time.

I hope you did not resign from your position & lost it.

My experience in this position right now is that I also make purchase orders and I receive and I make sure that I let the customers know if anything is on backorder and ask for ETA so I can have the correct date

I also sent out an email to the employees to inform them on everything that is on back stock so just in case if they have someone else who would like to purchase that same item they will already know in advance that is going to be on backorder so they can let the client know just in case if that's something that they still wanted to do