Compliance Interview Questions | Glassdoor

Compliance 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.

Have you investigated accidents?

1 Answer

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

1 Answer

What private business relationships does Square hold where, if lost, would harm our competitiveness?

2 Answers

What does Goldman do?

3 Answers

Wanted to know about my industrial safety background.

5 Answers

How you handle conflicts.

1 Answer

Probably, "give a situation that you used your creative talents to resolve."

1 Answer

Where do you see yourself in 5 years.

1 Answer

What is your goal in the next 10 years?

1 Answer
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